ENERG/BNP 10 CT 2A SEC Filings and corporate actions

SEC Charges New Jersey Investment Adviser in Multi-Million Dollar Offering Fraud

The Securities and Exchange Commission today charged a Branchburg, N.J.-based investment adviser and three of her firms with operating a multi-million dollar offering fraud involving the sale of phony promissory notes to investors, many of whom are retired or unsophisticated in investments.

SEC Adopts Temporary Rule Requiring Municipal Advisors to Register With Agency

The Securities and Exchange Commission today adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a deadline established by the newly-enacted Dodd-Frank Wall Street Reform and Consumer Protection Act.

SEC Charges Pinnacle Capital Markets for Deficient Customer Identification Program Procedures

The Securities and Exchange Commission today charged Pinnacle Capital Markets LLC with failing to comply with an anti-money laundering (AML) rule that requires broker-dealers to identify and verify the identities of its customers and document its procedures for doing so. The SEC also charged Pinnacle's managing director Michael A. Paciorek with causing Pinnacle's violations.