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Friday, December 6, 2019

SEC charges New York investment adviser for operating a multimillion-dollar Ponzi scheme

The U.S. Securities and Exchange Commission (SEC) filed a lawsuit against New York investment adviser for allegedly operating a multimillion-dollar Ponzi scheme. In the complaint,...

Joaquin Altenberg finally has his day in court

On September 24 to 26 Joaquin Altenberg finally appeared in Delaware Chancery Court which was proceeded by Vice Chancellor J. Travis Laster. The trial...

SEC charges 18 Chinese traders for allegedly engaging in market manipulation

The Securities and Exchange Commission (SEC) filed a lawsuit against 18 Chinese traders for allegedly engaging in market manipulation scheme. According to the Commission, it...

SEC stops alleged $1.7 billion unregistered digital token offering

The Securities and Exchange Commission (SEC) stopped two offshore entities from conducting an alleged unregistered, ongoing digital token offering in the United States and...

CFTC files fraud charges against two affiliate marketers for binary options

The U.S. Commodity Futures Trading Commission (CFTC) filed fraud charges against two affiliate marketers for binary options trading. In its complaint, the CFTC alleged that...

SEC files fraud charges against SBB Research and its top executives

SBB Research Group, a registered hedge fund adviser, and its top executives are facing fraud charges filed by the Securities and Exchange Commission (SEC). In...
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BMO advisory firms to pay $37 million for violating SEC rules

The Securities and Exchange Commission (SEC) said two BMO advisory firms agreed to pay more than $37 million to settle charges against it. As part...

Block.one to Pay $24 Million to Settle SEC Charges over Unregistered ICO

Block.one, a blockchain software company, reached a settlement agreement with the Securities and Exchange Commission (SEC) regarding its unregistered initial coin offering (ICO) between...
GOP Rep. Chris Collins Vows to Fight Insider Trading Charges, Win Re-election

GOP Rep. Chris Collins expected to plead guilty to insider trading charges

Republican Rep. Chris Collins of New York is expected to plead guilty to insider trading charges related to the securities of Innate Immunotherapeutics, an...
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Nissan and former CEO Carlos Ghosn settle SEC charges over false financial disclosures

Nissan, its former CEO Carlos Ghosn and former Director Greg Kelly agreed to settle the charges filed against them by the Securities and Exchange...

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Pennsylvania lawmaker accused of theft

Pennsylvania AG Shapiro charges State Rep. Johnson-Harrel of theft

Pennsylvania Attorney General Josh Shapiro sued a state lawmaker for allegedly stealing money from a non-profit organization dedicated to helping people with chronic mental...