Tag: Marc Berger

Regulation June 16, 2020

SEC Swats Away COVID-19 Scammers

Pandemic keeps regulator busy protecting investors from flood of fraudulent claims.

Regulation July 10, 2018

SEC Charges Firm for Failing to Supervise Rogue Brokers

Alexander Capital to pay more than $400,000 in fines for brokers who ‘churned’ accounts.