Business July 27, 2021
27 Financial Firms Settle SEC Charges Over Form CRS Filing and Delivery Failures
A total of 27 financial firms (21 investment advisors and 6 broker-dealers) agreed to pay civil penalties to settle the…
Health July 7, 2021
SEC charges Parallax Health Sciences for making false claims about COVID-19 efforts
The U.S. Securities and Exchange Commission (SEC) sued Parallax Health Sciences (OTCMKTS: PRLX) for allegedly making false claims regarding its…
Investigates April 25, 2021
Former race car team owner Andrew Franzone accused of multimillion dollar fraud
Andrew Franzone, a former race car team owner and an investment adviser of FF Fund Management, LLC (FFM), is facing…
Financial Investigations March 19, 2021
uBiome Co-Founders Jessica Richman, Zachary Apte Charged With $60 Million Fraud
The co-founders of uBiome Inc., a bankrupt biotechnology company based in San Francisco, are facing civil and criminal charges for…
Business March 6, 2021
SEC Sues AT&T over Selective Disclosure of Material Information to Wall Street Analysts
The Securities and Exchange Commission (SEC) filed a lawsuit against AT&T Inc. (NYSE: T) and three of its executives for…
Financial Investigations March 5, 2021
Swedish Cryptocurrency Fraudster Who Targeted Deaf Community Pleads Guilty to Securities Fraud
Roger Nils-Jonas Karlsson, a Swedish cryptocurrency fraudster, pleaded guilty to securities fraud, wire fraud, and money laundering charges filed against…
Legal Industry February 21, 2021
SEC is “Dead Wrong” about Ripple, says former SEC Chair Mary Jo White
In December, the Securities and Exchange Commission (SEC) filed a lawsuit against cryptocurrency company Ripple. The lawsuit resulted in massive…
Business February 3, 2021
XRP hits highest level since lawsuit — Redditers led the rally
XRP jumped 56% to reach $0.50944 — hitting its highest level since December 22. The price surge followed a campaign…
Business February 2, 2021
SEC Charges Individuals Behind Fraudulent Start Options Crypto Trading Platform, Bitcoiin2Gen (B2G) Tokens
The Securities and Exchange Commission (SEC) filed a lawsuit against three individuals behind the fraudulent Stock Options cryptocurrency trading platform…
Business January 28, 2021
SCAM ALERT: SEC sues Vuuzle, Ronald Shane Flynn over $14M fraudulent securities offering
The Securities and Exchange Commission (SEC) filed a lawsuit against Vuuzle Media Corporation and its founder Ronald Shane Flynn also…
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