Sean Wygovsky and Christopher Matthaei
SEC Charges Hedge Fund Trader and Broker-Dealer Partner in Multi-Million Dollar Spac Insider Trading Scheme
William Andrew Stack, Esq.
SEC Obtains Final Judgment Against Attorney for Engaging in Fraud and Conducting an Unregistered Securities Offering
Sapere Wealth Management, LLC and Scott Trease
SEC Charges North Carolina Investment Firm and Its Principal for Recommending Clients Invest Millions in Unsuitable, Risky Deals
John Barksdale, et al.
SEC Obtains Judgment Against Siblings Who Orchestrated Massive Crypto Asset Fraud
Spicer Jeffries LLP and Sean P. Tafaro, CPA
Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Justin A. Greenblum
Order of Suspension Pursuant to Rule 102(E)(2) of the Commission’s Rules of Practice
Surage Kamal Roshan Perera and Janues Capital Incorporated
SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud
Mario E. Rivero
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
James K. Couture
Securities and Exchange Commission Obtains Final Judgment Against Massachusetts Investment Adviser Who Misappropriated Funds from Clients