SEC charges SQN Capital CEO Jeremiah Silkowski as receiver takes over funds
The Securities and Exchange Commission settled charges with New York investment adviser SQN Capital Management LLC and its chief executive Jeremiah Silkowski, a case the ...
Read More →
SEC fines Zoe Financial 450,000 dollars over undisclosed adviser referral conflicts
The Securities and Exchange Commission has fined Zoe Financial Inc. $450,000 for failing to disclose conflicts of interest in its adviser referral service. The settled ...
Read More →
Travel + Leisure pays 975,000 dollars to settle SEC timeshare loan case
Travel + Leisure Co. agreed to pay a $975,000 civil penalty to settle Securities and Exchange Commission charges that it misled investors about the health ...
Read More →
SEC charges Himanshu Jindal with faking CPA credentials in Cyber Apps World audit fraud
The Securities and Exchange Commission has charged Himanshu Jindal, a 31-year-old resident of Jaipur, India, with posing as a certified public accountant to sell a ...
Read More →
Court orders $14 million against Francis Biller and boiler room crew behind $58 million stock scheme
The Securities and Exchange Commission has closed out an eight-year enforcement effort against Francis Biller, Raymond Dove, and three accomplices. The men ran a boiler ...
Read More →
70% of Leaders Say Their Latest Transformation Failed to Deliver Value. Here Is What the Data Shows.
The data that got my attention Deloitte’s 2026 Change Management Study, based on 1,000 C-suite and senior executives across the U.S., U.K., Australia, and Canada, ...
Read More →
