U.S. Securities and Exchange Commission


Recent News About U.S. Securities and Exchange Commission View More

Nevada attorney faces summary disbarment after conviction, imprisonment for wire fraud

By Karen Kidd | May 15, 2019

SAN FRANCISCO (Northern California Record) — Nevada attorney Zachary Brooke Roberts faces summary disbarment following a California Supreme Court decision and his conviction for wire fraud in a corruption scandal in which a native peoples tribe was defrauded of millions.

Court rules Securities and Exchange Commission failed to show entitlement to disgorgement from Berkeley Healthcare Dynamics

By Charmaine Little | Jan 18, 2019

SAN FRANCISCO – The U.S. District Court for the Northern District of California partially granted the Securities Exchange Commission’s motion for summary judgment in its case against companies it alleged violated federal securities laws.

Federal judge orders SEC-alleged Ponzi fraudster to pay off purchase agreement with California firm

By Karen Kidd | Jan 8, 2019

A New York man charged by the U.S. Securities and Exchange Commission with bilking millions from investors has been ordered by a federal judge to pay off a defaulted purchase agreement with a California wealth management company.

The Record Network