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SEC Highlights Investor Protection for World Investor Week 2021

The Securities and Exchange Commission today announced that it will highlight investor education and protection resources during World Investor Week 2021 (WIW). This marks the fifth year of WIW, a global effort promoted by the International Organization… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]

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Rogue Trader Settles Enforcement Action, Criminal Charges Pending

The SEC filed charges against  Keith A. Wakefield, a former managing director and head of fixed-income trading at IFS Securities, Inc., an Atlanta-based broker-dealer, causing millions of dollars of losses through unauthorized trading in fixed income securities, and with fraudulently obtaining approximately $820,000 in fictitious commission income. According to the […]