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DiCello Levitt Expands Whistleblower Practice With Preeminent SEC Whistleblower Team
SEC Prosecutions

SEC Prosecutions

Broker-Dealer Shut Down and Supervisors Barred for Failure to Supervise

In the Matter of Tempo Securities Corporation, Robert Shiffra, and Dennis Zauszniewski, Respondents

  • 2007
  • $60,000

Respondents were the employer and supervisors of Gregory A. Applegate, a broker who conducted a Ponzi scheme in which he solicited at least 140 investors to invest millions in what they were told to be securities. The SEC found that they failed to reasonably supervise him.

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