Month: November 2012
SEC Receives More Than 3,000 Whistleblower Tips in 2012
The Securities and Exchange Commission (the “SEC”) recently announced that it has received more than 3,000 whistleblower tips from all...
SEC Charges Miami-Based Adviser With Hiding Trading Losses and Diverting Client Funds
On November 9, 2012, the Securities and Exchange Commission (the “SEC”) charged a Miami-based investment adviser with defrauding his...
SEC upholds FINRA decision involving Robert D. Tucker
The Securities and Exchange Commission (the “SEC”) recently sustained FINRA’s decision against Robert D. Tucker, a registered...