SEC News
- SEC Charges San Diego-Based Promoter in Penny Stock Scheme June 18, 2013FOR IMMEDIATE RELEASE2013-114 Washington, D.C., June 18, 2013 — The Securities and Exchange Commission today charged a penny stock promoter in the San Diego area for fraudulently arranging the purchase of $2.5 million worth of shares in a penny stock company in an attempt to generate the false appearance of market interest and induce other investors to purch […]
- SEC Charges Two Executives in Ponzi Scheme At Dallas-Based Medical Insurance Company June 17, 2013FOR IMMEDIATE RELEASE2013-113 Washington, D.C., June 17, 2013 — The Securities and Exchange Commission today charged two executives at a Dallas-based medical insurance company with operating a $10 million Ponzi scheme that victimized at least 80 investors. Additional Materials SEC Complaint The SEC alleges that Duncan MacDonald and Gloria Solomon solicited i […]
- Amelia Cottrell Named Associate Regional Director for Enforcement in New York Office June 14, 2013FOR IMMEDIATE RELEASE2013-112 Washington, D.C., June 14, 2013 — The Securities and Exchange Commission today announced the promotion of Amelia A. Cottrell to Associate Regional Director for Enforcement in the agency's New York Regional Office. Ms. Cottrell, who came to the SEC in 2005, has been serving as an Assistant Regional Director in the New York o […]
- Former Mutual Fund Directors Agree to Settle Claims That They Failed to Properly Oversee Asset Valuation June 13, 2013FOR IMMEDIATE RELEASE2013-111 Washington, D.C., June 13, 2013 — The Securities and Exchange Commission today announced a settlement in an enforcement proceeding against eight former directors of five Regions Morgan Keegan open- and closed-end funds that were heavily invested in securities backed by subprime mortgages. The proceeding, which began in December […]
- SEC Charges Revlon with Misleading Shareholders in Going Private Transaction June 13, 2013FOR IMMEDIATE RELEASE2013-110 Washington, D.C., June 13, 2013 — The Securities and Exchange Commission today charged cosmetics and beauty care manufacturer Revlon with violating federal securities laws when the company misled shareholders during a "going private transaction." Additional Materials SEC Order Going private transactions can occur in ma […]
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FINRA Fines and Suspends Harrison Hatzis, Hallandale, FL
Comments off · Posted by Securities Lawyer in FINRA
The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.”
This ends the information from FINRA’s website.
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