Author: D. Daxton White
Dawn Bennett Facing Fraud Charges
Investigating Claims – Dawn Bennett Fraud Charges The Securities Exchange Commission (SEC) has charged Maryland broker Dawn Bennett...
22 Firms Sanctioned for Improper Bond Offerings
The Securities and Exchange Commission (SEC) has issued enforcement actions against 22 municipal underwriting firms for violations in...
ContinuityX Solutions Investigation
Two former executives of ContinuityX Solutions, David P. Godwin and Anthony G. Roth, were recently charged by the Securities Exchange...
SEC Investigates Lee Dana Weiss
The Securities and Exchange Commission recently filed charges against Family Endowment Partners LP (FEP) and the owner, Lee Dana Weiss, for...
American Finance Trust, Healthcare Trust Cancel Liquidity Events
According to reports, American Finance Trust Inc. and Healthcare Trust Inc. have decided not to pursue a listing on a national stock...
UBS Puerto Rico $34 Million Settlement with SEC & FINRA
The Securities and Exchange Commission settled charges against UBS Financial Services of Puerto Rico for failing to supervise former...
