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https://www.sec.gov/oiea/Complaint.html
Investor Complaint Form You may use this form to send your complaint to the SEC. Although we use secure socket layer encryption, do not hesitate to print this form and send it by mail or fax if you have any concerns about security.
https://www.sec.gov/complaint/question.shtml
May 12, 2017 · Investor Complaints May 12, 2017 If you have a problem with your investments, investment account, or a financial professional (examples are listed below), use our investor complaint form to provide us your information.
https://www.sec.gov/complaint/select.shtml
May 12, 2017 · Questions and Complaints. May 12, 2017 Report a possible securities fraud ; Ask a question or report a problem concerning your investments, your investment ... Submit a matter to the Ombudsman if you have a concern about the SEC or a self-regulatory organization (SRO) the SEC …
https://www.finra.org/sites/default/files/OHODecision/p006510.pdf
The first cause of the Complaint alleges that Katsock failed to disclose to nine customers that he had a financial interest in FWEB as a result of becoming a consultant to the company and receiving a warrant to purchase up to one million shares of its stock. The first cause also alleges that he failed to disclose to those customers that FWEB was a
https://www.sec.gov/litigation/complaints/2011/comp-pr2011-56.pdf
Securities Act [IS U.S.c. §§ 77t and 77v] and Sections 2I(d) and 2ICe) of the Exchange Act [IS U.S.C. §§ 78u(d) and 78u(e)], to enjoin Defendant Kissick from engaging in the transactions, acts, practices, and courses ofbusiness alleged in this complaint, and transactions, acts, practices, and
http://theshareholderactivist.com/shareholder-policies-investor-regulations/how-to-file-complaints-and-report-fraud-to-the-sec/
How to File Complaints and Report Fraud to the SEC by Craig McGuire The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation , according to the Commission’s mission statement posted online .Author: Craig Mcguire
https://www.sec.gov/litigation/complaints/2009/comp21068.pdf
Securities Act, 15 U.S.C. § 77v(a), and Section 27 ofthe Exchange Act, 15 U.S.C. § 78aa, because defendants reside and transact business within this district and certain ofthe transactions, acts, practices and courses of conduct constituting violations ofthe federal securities laws alleged in this complaint occurred within this district. SUMMARY
https://www.finra.org/rules-guidance/oversight-enforcement/individuals-barred-finra/k
Where indicated, individuals on this list have appealed FINRA's final action to the SEC or, in the case of a final order of the SEC sustaining FINRA's action, to the courts; thus, the findings and sanctions of FINRA in those instances are subject to review and modification by the SEC or the courts.
https://www.sec.gov/oiea/investor-alerts-bulletins/ib_complaints.html
Apr 19, 2017 · The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Bulletin to inform investors about how OIEA handles investor complaints and other ways investors may be able to resolve a securities-related dispute.
Sep 20, 2017 · False or misleading statements about a company (including false or misleading SEC reports or financial statements) Failure to file required reports with the SEC Bribery of, or improper payments to, foreign officials
https://www.sec.gov/litigation/litreleases/2017/lr24007.htm
Dec 11, 2017 · The SEC's complaint, filed in the U.S. District Court for the District of Connecticut, alleges that Westport Capital Markets, LLC, a dually registered investment adviser and broker-dealer, and Westport's principal, Christopher E. McClure, repeatedly invested advisory clients' funds in risky securities that generated hundreds of thousands of dollars in undisclosed mark-ups for Westport and …
https://www.law360.com/cases/55face45dd070926d0000003
Parties, docket activity and news coverage of federal case SARUS, INC. et al v. KATSOCK & COMPANY, PLLC et al, case number 2:15-cv-05172, from Pennsylvania Eastern Court.
https://reviews.birdeye.com/andrew-joseph-katsock-iii-708267072
10 customer reviews of Andrew Joseph Katsock III. One of the best Legal Services, Legal business at 15 Sunrise Dr, Wilkes-Barre PA, 18705. Find Reviews, Ratings, Directions, Business Hours, Contact Information and book online appointment.3.6/5(10)
https://www.floridasupremecourt.org/clerk/briefs/2008/1601-1800/08-1652_JurisAns.pdf
Motion to Dismiss, arguing that the Respondent's Complaint was timely and procedurally proper and that the Circuit Court had subject matter jurisdiction pursuant to the Customer Agreement made by the parties, as well as personal jurisdiction over the Petitioner Katsock due to his residence in Florida.
https://www.aicpa.org/forthepublic/disciplinaryactions.html
Where feasible, disciplinary articles are periodically removed from this site in accordance with the following guidelines: Terminations generally remain on the Web site for a maximum of seven years.
https://www.sec.gov/litigation/complaints/2018/comp24121.pdf
3 In addition, on April 24, 2018, a criminal complaint was filed in this District against Reynolds, Stromsland, and Herod with a claim of securities fraud arising from the same misconduct alleged in this Complaint. The docket number is U.S. v. Reynolds et al., Case No. 1:18-mj-06151-MPK.
http://www.puc.state.pa.us/about_puc/consolidated_case_view.aspx?Docket=C-2012-2288367
Return to the Utility Details The Consolidated Case View displays the case information, actions taken on the case, and links to public documents associated with the case, which is identified by the Docket Number C-2012-2288367.
https://www.law360.com/cases/54e3885cbf371b539c000001
Parties, docket activity and news coverage of federal case Sarus, Inc. v. Katsock & Company, PLLC, case number 1:15-cv-00440, from Georgia Northern Court.
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