Dentist-Turned-Investment Adviser Charged in Three Frauds by SEC
Edgar Radjabli is accused of manipulating the securities market for Veritone, among other schemes.
Tag: SEC
Risk
Five Charged in $2 Billion Unregistered Crypto Offering
The SEC says the now-defunct BitConnect platform advertised 40% ‘no risk’ monthly returns.
Risk
Risky Business Leads to $1 Billion Trading Loss, Charges for Fund Execs
SEC alleges portfolio managers misled investors about risk management practices.
Manager Selection
AIG CIO Douglas Dachille to Step Down
The insurance giant has tapped Deputy CIO Geoff Cornell to helm its $350 billion investment portfolio.
Regulation
SEC Settles Charges with Firm Over Failing to Report Hacking Attempts
GWFS Equities allegedly neglected to report three years of suspicious activities by ‘bad actors.’
Asset Allocation
So, SPACs Are Dead Meat? Not a Chance
The craze for the blank check outfits might have dwindled, due to the SEC, but they’re still a good investing choice, our symposium panelists say.
Pensions
SEC Charges Hedge Fund Manager with $38 Million Fraud
Andrew Franzone allegedly used misappropriated funds to buy an airplane hangar for his race car collection.
Regulation
SEC Finds Potentially Misleading, Unproven Claims by ESG Funds
Agency issues risk alert over poor disclosure practices by some sustainable investment product providers.
Risk
SEC Charges Biotech Co-Founders with $60 Million Fraud
uBiome’s CEO and chief scientific officer were also indicted by a federal grand jury.
Regulation
SEC Extends Its Reach into Dark Web
Regulator charges former SpaceX engineer in its first enforcement of alleged securities violations on that part of the internet.
Regulation
SEC Continues to Make ESG a Main Priority
The regulator has added a new page to its website to provide up-to-date ESG-related information and agency action.
Risk
Texas Energy Fund Adviser Charged with Defrauding Over 100 Investors
Fund principals allegedly pocketed nearly $2.7 million in illicit payments.
Regulation
SEC Seeks Climate Change Disclosure Input
Acting Chair Allison Herren Lee is calling for SEC staff and the public to evaluate rules on ESG-related disclosures.
Risk
McAfee Indicted for Fraud, Money Laundering Conspiracy Crimes
Former software firm founder could spend the rest of his life behind bars if convicted.
Regulation
SEC Charges Seven in $45 Million Pump and Dump Scheme
Kelly Kabilafkas allegedly promoted shares in Airborne Wireless Network, then dumped the stock.