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Securities and Exchange Commission
Brokers Enforcement Investors

Defense of an SEC Enforcement Investigation

SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to public companies to private companies who are soliciting investments, small companies. The SEC conducts its investigations privately, and does so by requesting voluntary cooperation or issuing subpoenas for documents and […]

Enforcement

Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers

SEC Takes Action Against VCP Financial and Investment Advisers for Regulatory Violations Investment Advisers Caught Selling Pre-IPO Investments Without Proper Registration The Securities and Exchange Commission (SEC) has announced settled charges against three investment adviser representatives—Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr.—for operating as unregistered brokers while […]