News Releases

All News Releases

Enforcement Actions: Administrative

Sep 9
2020

Order No. IC20-REV-05

In the Matter of The Investment Advisor Representative Registration of Kim D. Butler: Registration Revoked

Sep 3
2020

Order No. ENF-20-CDO-1820

In the Matter of Forex Birds, LTD.; Kumar Babu Gondesi; Eric Balusek aka Darwin Eric Balusek aka Bitcoin Pope; and Pek Universe: Emergency Cease and Desist Order

All administrative actions

Enforcement Actions: Criminal & Civil

Jun 17
2020

Tommie “Tom” Carter Jr: Arrested

On June 17, Tommie “Tom” Carter Jr., from central Texas, was arrested after being charged with securities fraud, theft, misapplication of fiduciary property and money laundering as part of a white-collar criminal investment scheme.

Carter allegedly sold investments referred to as the...

All civil & criminal actions

Publications

Salute to Smart Investing cover

A Salute to Smart Investing

To help active military members achieve financial security, Salute covers investment "basic training," retirement planning, avoiding scams – and much more

 

It's Your Financial Life cover

It's Your Financial Life

Young workers of the world, invest! Your Financial Life cuts through the thicket of financial jargon and products as you begin managing your own finances.

All publications