This text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC.
Washington D.C., Aug. 23, 2018 — The Securities and Exchange Commission today announced that Matthew S. Jacques has been named the new chief accountant in the SEC’s Division of Enforcement. Mr. Jacques, who for six years served as a senior enforcement accountant in the SEC’s Boston Regional Office, rejoins the SEC enforcement staff from AlixPartners, […]
Washington D.C., Jan. 11, 2018 — The Securities and Exchange Commission has named Dr. Timothy Timura, CFA, as Deputy Director and Deputy Chief Economist in the agency’s Division of Economic and Risk Analysis (DERA). Dr. Timura joins DERA from the faculty of the Kogod School of Business at American University, where he has been an […]
Washington D.C., Dec. 4, 2017 — A California-based audit firm is being charged with conducting flawed audits and reviews of financial statements, which are critical sources of information for investors. The SEC’s Enforcement Division alleges that Anton & Chia LLP and its accountants ignored numerous indications of fraudulent financial reporting by three of the firm’s […]