by admin | Jun 7, 2021 | Latest News
By: Department of Justice, U.S. Attorney’s Office, Middle District of Pennsylvania The United States Attorney’s Office for the Middle District of Pennsylvania announced that on June 2, 2021, Donna L. Summerlin, age 62, of Fortville, Indiana, was convicted following a...
by admin | Sep 5, 2020 | Latest News
Source https://www.sec.gov/news/press-release/2020-200 The Securities and Exchange Commission has announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 23 soliciting entities,...
by admin | Jun 8, 2020 | Latest News
By Scott L. Starr June 8, 2020 The new Securities and Exchange Commission (SEC) rule that requires broker-dealers who make recommendations to their customers to act in their clients’ “best interest” takes effect on June 30, 2020. This is a significant change in the...
by admin | Jan 21, 2020 | Latest News
Five large brokerage firms have been fined $1.4 million by FINRA for failing to reasonably supervise custodial accounts. The sanctioned firms were Citigroup Global Markets Inc.; J.P. Morgan Securities LLC; LPL Financial LLC; Morgan Stanley Smith Barney LLC; and,...
by admin | Oct 16, 2019 | Latest News
Sources: U.S. Securities and Exchange Commission, Indiana Secretary of State What is a private placement? A private placement, also sometimes known as an unregistered offering, is a way for companies to raise money from investors without having to conduct a public...
by admin | Oct 2, 2019 | Latest News
By Indianapolis Business Journal Staff An Indianapolis man who operated a downtown payroll services business pleaded guilty to federal charges Friday after admitting to conducting a fraud scheme that cost his clients and Internal Revenue Service more than $9.4...
