Tag: SEC
R.I. man charged with defrauding investors in Ponzi scheme
PROVIDENCE – David Wagner of East Greenwich and Downing Partners LLC and its subsidiaries have been charged with defrauding investors out of millions of dollars.
Separate...
Groups, officials weigh in on SEC-proposed standard of conduct for broker-dealers
PROVIDENCE – Numerous groups and officials weighed in last week on the U.S. Securities and Exchange Commission’s Regulation Best Interest proposal that sets a...
Money manager for state pension settles SEC complaint for violating ‘pay-to-play’...
PROVIDENCE – Gov. Gina M. Raimondo is cited indirectly in a federal complaint against an investment advisory firm that handled state pension money when...
Pay ratio disclosures show wide gaps between CEOs, employees
Out of the 19 public companies that are based in or have significant operations within Rhode Island and have filed proxy statements recently, 14...
Trump’s SEC proposes rewrite of Obama-era broker conflict rules
NEW YORK – The U.S. Securities and Exchange Commission on Wednesday proposed overhauling its conflict of interest rules for brokers, a move likely ensuring...
DOJ seeks new info on CVS Health-Aetna merger, extends waiting period...
WOONSOCKET — The U.S. Department of Justice extended the Hart-Scott-Rodino Antitrust Improvements Act waiting period for CVS Health Corp. and Aetna Inc.’s merger review...
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