The order against Nicholas Reeves reciprocates a penalty that was imposed by the ASC in 2011
Son alerted father to Berens Energy transaction
Bratvold agrees to cease-trade order, and to pay regulator $238,000
Alleged illegal distribution raised $1.3 million
Regulator investigating “spoofing” website
TransCap and Strata-Trade raised $51.6 million by promising low-risk investments with returns of 18 to 22%
Allen, Macdonald and McCaw succeed Edgeworth, Brennan, Major, Murphy and Prentice
Agent’s brokerage account was used for illegal insider trading of Eveready Inc. shares
Magellan Minerals trades to be examined in April hearing
Panel finds Jeanette Couch misled investors, perpetrated fraud; $750,000 penalty imposed