SEC Charges Hedge Fund Manager with Misappropriation of $700K
Eric Lyons is accused of using ill-gotten funds to pay for luxury expenses for his family.
Tag: SEC
SEC Bars Hedge Fund Manager for Losing Big on Risky Bets
Matthew Rossi blamed $1.8 million in losses on nonexistent rogue trader.
CBS, Moonves Deny Violations in Pension Lawsuit
Former CEO maintains that allegations of misconduct are not true.
SEC, FCA Sign Brexit Cooperation Arrangements
Regulators agree to continue cooperation uninterrupted after the UK leaves the EU.
Regulation
Yale Alum Charged with Running Hedge Fund Scam While Student
Omar Zaki agrees to $25,000 SEC fine, three-year ban from investment industry.
SEC Releases Framework for Digital Assets
Guidance intended to help investors determine when a digital asset is a security.
Supreme Court Widens Scope for Fraud Claims
Supports SEC in allowing agency to hold individuals liable even if they did not make a statement deemed fraudulent.
Regulation
Georgia County Manager Charged with Pension Fraud
Romantic interest allegedly led manager to mislead pensions.
Regulation
SEC Charges Volkswagen with Defrauding Bond Investors
Regulator accuses automaker of ‘massive fraud’ to sell bonds at inflated prices.
SEC Settles Charges Against 79 Advisers
Violators agree to return more than $125 million to clients.
Regulation
Molson Coors Hit with Class Action Lawsuit
Complaint accuses CEO and CFO of making false and misleading statements.
SEC Proposes to Expand Obama-Era ‘Test-the-Waters’ Modernization to All Businesses
Proposition would allow businesses to solicit institutional investor interest before filing an IPO.
SEC Charges Four in Elaborate Microcap Stock Fraud
Fake debt instruments allegedly used to reap $25 million in ill-gotten gains.
Hackers Exploit SEC Test Filing Services to Trade Illegally
The SEC charges nine for trading on non-public information.
JPMorgan to Pay $135 Million for Improper ADR Handling
Settlement is the SEC’s eighth action against a bank or broker in its ongoing ADR investigation.