Alan Z. Appelbaum
SEC Charges Broker and Registered Representatives in Connection with Unsuitable Recommendations of Highly Complex Structured Securities
Aegis Capital Corp.
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Paul F. Gallivan
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
GP Capital Group, Inc. and Shannon W. Illingworth
SEC Files Subpoena Enforcement Action Against GP Capital Group, Inc. and Its President, Shannon W. IIIingworth
Patient Access Solutions, Inc., et al.
SEC Charges Microcap Issuer and Its CEO and Former Director for False Merger and Dividend Announcements
Robert L. Murray, Jr.
SEC Charges Former Chief Petty Officer with Fraud in Investment Scheme That Targeted U.S. Navy Veterans and Sailors
Frank Okunak
SEC Charges Former CFO and Coo with Falsifying Books and Records and Circumventing Internal Controls to Misappropriate Funds
J.P. Morgan Securities LLC
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
UBS Financial Services Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
