Regulatory Actions

The Securities and Exchange Commission (SEC) filed charges on Friday against two companies and their founder Ryan Felton for allegedly promoting two fraudulent initial...

The Securities and Exchange Commission (SEC) accused Kelvin Boon LLC doing business as Boon.Tech and its CEO Rajesh Pavithran of violating federal securities laws...

On July 30, 2020, David Peavler, Regional Director of the SEC’s Fort Worth Office announced charges against San Antonio-area businessman, Victor Lee Farias and...

Rialto Capital Management, a registered investment management firm, agreed to a penalty of $350,000 to the Securities and Exchange Commission (SEC) to resolve the...

Laksha Bohra, a former finance manager at Amazon, Inc. (NASDAQ: AMZN) has been charged with insider trading by the Securities and Exchange Commission (SEC)....

The U.S. Department of Justice (DOJ) released the “Cryptocurrency Enforcement Framework” highlighting the emerging threats associated with the frequent and increasing use of digital assets...

Laino Group Limited also doing business as PaxForex is facing a civil lawsuit alleging that it is offering unlawful leverage transactions in cryptocurrencies and...

AllianceIT, a staffing services company based in Pleasanton, California, reached an agreement with the Department of Justice (DOJ) to settle the complaint against it. The...

Whiting Petroleum (NYSE: WLL) will have a new CEO and a new board when it emerges from Chapter 11 bankruptcy reorganization. Current CEO and...

The Securities and Exchange Commission (SEC) filed charges against two Maryland companies and their principals for allegedly defrauding around 1,200 investors in a Ponzi...