SEC Investor Advisory Committee to Discuss Investment Advice and Key Topics from Securities Litigation at Sept. 19 Meeting

For Immediate Release2024-126Washington D.C., Sept. 12, 2024 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, at 10 a.m. ET at…

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SEC Charges Former Finance Director at CIRCOR International with Accounting Fraud

Company settles SEC’s charges for related accounting controls violations; avoids penalties based on self-report, cooperation, and remediationFor Immediate Release2024-116Washington D.C., Sept. 5, 2024 — The Securities and Exchange Commission today…

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SEC Charges Broker-Dealer Nationwide Planning and Two Affiliated Investment Advisers with Violating Whistleblower Protection Rule

NJ-based firms impeded clients from voluntarily reporting information to the SECFor Immediate Release2024-115Washington D.C., Sept. 4, 2024 — The Securities and Exchange Commission today announced settled charges against three affiliated…

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SEC Charges Creative Legal Fundings CEO Maria Dickerson with Operating Multimillion Dollar Ponzi Scheme that Targeted Filipino-American Community

For Immediate Release2024-112Washington D.C., Sept. 3, 2024 — The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity…

Continue ReadingSEC Charges Creative Legal Fundings CEO Maria Dickerson with Operating Multimillion Dollar Ponzi Scheme that Targeted Filipino-American Community