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Mealeys

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October 16, 2024

Securities And Exchange Commission v. Cabalar

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

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  1. October 17, 2024

    SEC Fines Broker-Dealer PHX, Sues Rep Over Reg BI Claims

    The U.S. Securities and Exchange Commission has fined broker-dealer PHX Financial Inc. and sued one of its registered representatives over claims that the representative improperly advised a handful of retail clients to engage in a trading strategy that caused them massive losses but generated significant fees and commissions for the firm and the representative.

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