Seward & Kissel LLP


40 Act Blog - 5 new articles


SEC Brings Form 4 Enforcement Action

The SEC brought an administrative action against Salim Ghauri, a director and officer of NetSol Technologies, Inc. (NetSol), for violations of the...

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Officer Fined $60,000 for Failing to File Amended 13G Reports and Form 4s

The SEC brought an enforcement action against Raul S. McQuivey,an officer and director of Sutron Corporation (Sutron) and as a greater than 10%...

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SEC Brings Enforcement Action Against Adviser for Making Errors in Client Account Statements

The SEC brought an enforcement action against Douglas E. Cowgill, a resident of Columbus, Ohio, for sending clients account statements with errors....

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SEC Brings Case Against an Adviser Rep Who Uses Firm’s Billing System to Misappropriate Client Funds

The SEC brought an administrative action against John Pappas, who was employed as a registered representative and an investment adviser...

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Access to Client Brokerage Accounts Allows Adviser to Misappropriate Client Funds

The SEC brought an administrative action against Brian K. Velten, who from 2009 through 2012, was an unregistered investment adviser who resided in...

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