Tag: SEC

Regulation March 17, 2020

SEC Stops Allegedly Fraudulent Hedge Fund Offering that Raised $39 Million

Manager is accused of misleading investors and using funds to buy luxury apartments.

Regulation March 5, 2020

SEC says today’s Names Rules may not be effective in stopping the implementation of misleading fund names.

Regulation March 2, 2020

Actor and ‘Zen master’ agrees to pay more than $300,000 to settle charges he unlawfully touted an ICO.

Corporate Moves February 27, 2020

Payment includes $500 million civil penalty distributed to investors by SEC.

Regulation February 25, 2020

Enigma MPC raised approximately $45 million from 6,000 investors.

Asset Allocation February 18, 2020

Michael Ackerman boasted his algorithm generated monthly profits of 15%.

Regulation February 4, 2020

Philip Riehl allegedly scammed fellow Mennonites and Amish for nearly a decade.

Regulation January 24, 2020

Alleged fraudsters used ill-gotten gains to buy luxury cars and a yacht.

Regulation January 22, 2020

Alleged perp in crypto-currency scam, Boaz Manor, said to dye his hair, grow a beard to hide identity.

Regulation January 9, 2020

Commission will also pay close attention to market infrastructure, seniors saving for retirement, and information securities.

Regulation January 3, 2020

Firm assumed annuitants were dead or unreachable if they didn’t respond to two mailings.

Regulation December 22, 2019

Funds were ‘pilfered’ to purchase luxury vehicles, real estate, and to pay earlier investors.

Regulation December 16, 2019

Tech firm allegedly raked in $42 million by defrauding hundreds of investors.

Regulation December 13, 2019

Executives allegedly used funds for yacht, sports cars, cosmetic surgery.

Regulation December 11, 2019

NYSE’s new idea hits a roadblock.