Tag: U.S. Securities and Exchange Commission
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...
Boards of directors for Washington Trust and Halsey Associates approve merger
WESTERLY – The boards of directors of The Washington Trust Co. and the bank’s wholly owned subsidiary Halsey Associates Inc. approved the merger of...
Better Markets applauds Supreme Court decision on liability of fraud
PROVIDENCE – Better Markets, a nonprofit advocating for the public’s interests in financial markets, applauded a new U.S. Supreme Court decision in the case...
Galvin announces ‘landmark settlement’ with coin offering issuer AirFox
PROVIDENCE – Mass. Secretary of the Commonwealth William F. Galvin has reached a “landmark settlement” with Boston-based initial coin offering issuer AirFox.
AirFox agreed to...
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...
Galvin warns against Piwowar’s disapproval of DOL fiduciary rule
BOSTON – Secretary of the Commonwealth William F. Galvin is pushing back on remarks made by a U.S. Securities and Exchange commissioner.
Galvin, a strong...
Alexion raided by Brazilian police in sales investigation
BRASILIA, Brazil - Alexion Pharmaceuticals Inc.’s Sao Paulo offices were raided by Brazilian authorities Monday as part of an investigation into the drugmaker’s sales...
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