David Jenson

David Jenson

Stinson Leonard Street

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Unregistered Finder Settles With The SEC, Agrees To Pay Millions

The SEC recently settled an enforcement action against an individual alleged to have sold millions of dollars in securities on behalf of oil and gas companies without being associated with a registered broker dealer, as...more

5/19/2014 - Broker-Dealer Enforcement Actions Oil & Gas SEC Securities Securities Exchange Act Settlement

ISS Charged With Selling Shareholder Vote Data; Agrees To $300,000 Settlement

The SEC and Institutional Shareholder Services, Inc. (ISS) have settled public administrative and cease-and-desist proceedings initiated against ISS by the SEC alleging that ISS violated Section 204A of the Advisers Act by...more

5/24/2013 - ISS Proxy Solicitations SEC Settlement Shareholders

Don’t Lie About Assets Under Management

Umesh Tandon, president, chief compliance officer, and sole owner of Simran Capital Management, recently agreed to a settlement with the SEC relating to alleged violations of the Investment Advisers Act of 1940 and the...more

4/19/2013 - Asset Management Investment Advisers Act of 1940 Investment Company Act of 1940 Misrepresentation SEC Settlement

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