Welcome to GRIP, Global Relay’s new digital information service on practical compliance and regulatory change.
Please enjoy this free trial of our subscription content service, for a limited time only.
SA 1933 Rule 17
-
SEC charges Drive Planning LLC and its CEO with fraud
The SEC accuses the company and its CEO Russell Todd Burkhalter of offering unregistered securities and operating a Ponzi scheme.
-
SEC charges auditor BF Borgers with ‘massive fraud’
BF Borgers and owner Benjamin Borgers charged by the SEC in case affecting more than 1,500 SEC filings.
-
SEC charges CEO and President of Synergy Settlement Services with fraudulent operation of special needs pooled trusts
Defendants allegedly used funds from deceased beneficiaries’ accounts on golf tournaments and beach parties.