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SEC gov | SEC Charges New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U S

SEC gov | SEC Charges New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U S
sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.

United statesNew yorkAriel atlasMehreen shahKaren willenkenNadim ahmedMona shahHermann vargasNandy celamyAlison connChevon walkerThomasp smith jrExchange commissionInvestor programNuride transportation groupYork regional office

SEC Charges 16 Wall Street Firms wWth Widespread Recordkeeping Failures - Firms Admit To Wrongdoing And Agree To Pay Penalties Totaling More Than $1 1 Billion

The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.

New yorkUnited statesSanjay wadhwaGurbirs grewalKaren willenkenOsman nawazHelenanne listermanLaura josephsCorey schusterCarolyn welshhansThomasp smith jrGary genslerIan rupellZachary sturgesJessica neitermanBarclays capital inc

Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients

The Securities and Exchange Commission today charged publicly-traded asset manager Medley Management and its former co-CEOs, Brook B. Taube and Seth B. Taube, with making misrepresentations to investors and clients that created the illusion of Medley’s likely future growth.

New yorkUnited statesLee greenwoodKaren willenkenWilliam uptegroveAlistaire bambachTherese scheuerSethb taubeLara shalov mehrabanAlison connJudith weinstockExchange commissionYork regional officeMedley managementActing directorYork regional

SEC: Medley Management And Former Co-CEOs To Pay $10 Million Penalty For Misleading Investors And Clients - Settlement Structured To Expedite Payment To Bondholders Through Related Bankruptcy Proceeding

<p><span>The Securities and Exchange Commission today charged publicly-traded asset manager Medley Management and its former co-CEOs, Brook B. Taube and Seth B. Taube, with making misrepresentations to investors and clients that created the illusion of Medley’s likely future growth. The respondents have agreed to settle the SEC’s charges and will collectively pay $10 million in civil penalties.</span></p> <div><span><br /></span></div>

New yorkUnited statesLee greenwoodKaren willenkenWilliam uptegroveAlistaire bambachTherese scheuerSethb taubeLara shalov mehrabanAlison connJudith weinstockExchange commissionYork regional officeMedley managementActing directorYork regional