Tag: SEC

Regulation March 14, 2019

SEC Settles Charges Against 79 Advisers

Violators agree to return more than $125 million to clients.

Regulation February 25, 2019

Complaint accuses CEO and CFO of making false and misleading statements.

Regulation February 25, 2019

Proposition would allow businesses to solicit institutional investor interest before filing an IPO.

Regulation February 22, 2019

Fake debt instruments allegedly used to reap $25 million in ill-gotten gains.

Regulation January 22, 2019

The SEC charges nine for trading on non-public information.

Regulation January 4, 2019

Settlement is the SEC’s eighth action against a bank or broker in its ongoing ADR investigation.

Newsmakers December 31, 2018

Proposed legislation aims to provide light-touch regulatory guidance for digital tokens.

Regulation December 31, 2018

Crowe LLC let $100 million in unpaid taxes slip under its radar, SEC alleges.

Regulation December 17, 2018

AriseBank claimed to be the world’s first decentralized bank.

Regulation December 4, 2018

Boxing champion, music producer agree to pay more than $750,000 in fines combined.

Regulation November 29, 2018

EtherDelta founder Zachary Coburn to pay nearly $400,000 in disgorgement and fines.

Regulation November 28, 2018

ITG agrees to second multimillion-dollar settlement with SEC in three years.

Regulation November 12, 2018

SEC alleges bank profited from ‘industry-wide fraud.’

Regulation November 7, 2018

Most disgorgement payments came from the Petróleo Brasileiro SA case.

Regulation October 29, 2018

Christopher Faulkner is ordered to pay more than $25 million in disgorgement and fines.