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Safeguard Metals LLC and Jeffrey Ikahn (f/k/a Jeffrey S. Santulan) (Release No. LR-25708; May 5, 2023)

Safeguard Metals LLC and Jeffrey Ikahn (f/k/a Jeffrey S. Santulan) (Release No. LR-25708; May 5, 2023)
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SEC Charges 12 Additional Financial Firms For Failure To Meet Form CRS Obligations

<p><span>The Securities and Exchange Commission today announced that six investment advisers and six broker-dealers have agreed to settle charges that they failed to file and deliver client or customer relationship summaries – known as Form CRS – to their retail investors by the required deadline and, in some cases, failed to include all information necessary to satisfy Form CRS requirements.</span></p> ....

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SEC Files Fraud Charges Alleging A Multi-Million Dollar Scheme That Targeted Retirement Accounts

<p><span>The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age.</span></p> ....

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SEC says local adviser defrauded client

The Securities and Exchange Commission recently announced federal charges against Tyrone Township resident Steven Muntin, 57, for allegedly defrauding one of his investment advisory clients out of more than $314,000. ....

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SEC Charges 27 Financial Firms For Form CRS Filing And Delivery Failures

SEC Charges 27 Financial Firms For Form CRS Filing And Delivery Failures
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