Regulation
SEC Charges Convicted Criminal Over Fraudulent Coin Offering
Alleged perp in crypto-currency scam, Boaz Manor, said to dye his hair, grow a beard to hide identity.
Tag: SEC
Regulation
Investment Advisors, Fintech Innovations Top SEC’s Priorities for 2020
Commission will also pay close attention to market infrastructure, seniors saving for retirement, and information securities.
Regulation
MetLife to Pay SEC $10 Million Fine Over Pension Accounting Violations
Firm assumed annuitants were dead or unreachable if they didn’t respond to two mailings.
Regulation
CFO Pleads Guilty for Role in $1 Billion Ponzi Scheme
Funds were ‘pilfered’ to purchase luxury vehicles, real estate, and to pay earlier investors.
Regulation
SEC Charges CEO with Fraudulent Initial Coin Offering
Tech firm allegedly raked in $42 million by defrauding hundreds of investors.
Regulation
SEC Freezes Solar Panel Maker’s Assets Over Alleged Fraud
Executives allegedly used funds for yacht, sports cars, cosmetic surgery.
Regulation
Proposal Denied! SEC Rejects Plan to Allow New Capital Raises Through Direct Listings
NYSE’s new idea hits a roadblock.
Alternatives
SEC Approves Bitcoin Futures Fund
The NYDIG Bitcoin Strategy Fund is not for high-risk averse investors.
Regulation
Chicago Hedge Fund Adviser, Executives Charged with Fraud
SEC alleges firm overcharged investors by inflating fund values.
Market Moves
NYSE Proposes New Method for Companies to Raise Capital When Going Public
Direct listing would allow companies to sell shares in opening auction on first day on exchange.
Regulation
Investment Advisor’s Registration Revoked over Alleged Fraud
SEC says International Investment Group sold at least $60 million in fake loan assets.
Regulation
SEC Stops Ponzi Scheme Targeting Seniors, Small Businesses
Alleged fraudsters invested funds in ‘calamitous trading strategy.’
News
SEC Wants to Protect Teachers, Military Members from Getting Duped
New program would help employees avoid falling victim to securities fraud.
Regulation
SEC Extends Enforcement Reach in 2019
Money returned to swindled investors jumps 50% to $1.2 billion.
Regulation
SEC Charges Adviser over Ponzi Scheme Targeting Haitians
Ruless Pierre, who targeted family and friends, could face 45 years in prison.