Tag: SEC

Regulation June 12, 2019

SEC Charges Student with Running Ponzi Scheme Out of Frat House

Syed Arham Arbab allegedly promised ‘fictitious’ annual returns of up to 56%.

Regulation June 12, 2019

Regulator says firm prevented investors from making informed decisions.

Regulation June 4, 2019

Daniel Pacheco is accused of bilking investors out of $26.5 million.

Regulation May 28, 2019

Regulator charges cryptocurrency firms with securities fraud.

Regulation May 21, 2019

Canada’s NextBlock allegedly misled investors as to who was advising the company.

Regulation May 17, 2019

New rules would make the PE arena a lot more navigable, welcoming, and lucrative.

Regulation May 6, 2019

Joseph Meli was charged with a crime he is already serving time for in prison.

Regulation April 30, 2019

Eric Lyons is accused of using ill-gotten funds to pay for luxury expenses for his family.

Regulation April 26, 2019

Matthew Rossi blamed $1.8 million in losses on nonexistent rogue trader.

Regulation April 18, 2019

Former CEO maintains that allegations of misconduct are not true.

Regulation April 17, 2019

Regulators agree to continue cooperation uninterrupted after the UK leaves the EU.

Regulation April 8, 2019

Omar Zaki agrees to $25,000 SEC fine, three-year ban from investment industry.

Regulation April 8, 2019

Guidance intended to help investors determine when a digital asset is a security.

Regulation April 3, 2019

Supports SEC in allowing agency to hold individuals liable even if they did not make a statement deemed fraudulent.

Regulation March 25, 2019

Romantic interest allegedly led manager to mislead pensions.