A convertible note financing business and its owners settled SEC charges for failing to register as a securities dealer.
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The SEC charged a firm and its sole officer for failing to register as a dealer in connection with its "convertible notes business."
The SEC charged a broker-dealer for failing to file suspicious activity reports regarding OTC trades of low-priced securities. The SEC alleged the trades constituted a "red flag" as defined in the broker-dealer's own procedures.
An investment adviser settled SEC charges for breach of fiduciary duty in connection with its affiliates' receipt of third-party compensation related to the sale of shares in mutual funds.
Two entities and their principals settled SEC charges for the sales of unregistered oil and gas securities and material misstatements in connection with those offerings.