The SEC charged the former CEO and president of a Nasdaq-traded security technology company and three other individuals in a fraudulent broker bribery scheme. The DOJ filed charges against one of the individuals in a parallel action.
News & Insights
3 News Results
The SEC charged a broker-dealer for failing to take action against a registered representative who was conducting a pump-and-dump scheme.
The former president of a penny stock company consented to a permanent ban from serving as a public company officer. The SEC alleged that he made misrepresentations in an attempt to pump up the value of his company's stock.