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GE agrees to pay $200 million to settle SEC charges for allegedly misleading investors

Marivic Cabural Summers -

December 10, 2020

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Financial Investigations

SEC orders these advisory firms, broker-dealers to return over $3 million to harmed investors

Marivic Cabural Summers -

November 16, 2020

SEC sues former Wells Fargo execs for deceiving investors over key performance metrics

Business

SEC sues former Wells Fargo execs for deceiving investors over key performance metrics

Marivic Cabural Summers -

November 13, 2020

SEC Order unregistered ICO

Financial Investigations

SEC Enforcement Division collected $1.26B penalties from unregistered ICOs in 2020

Dee Dulfo -

November 13, 2020

Tradenet training packages

Business

SEC charges Tradenet for Selling Unregistered Security-Based Swaps

Marivic Cabural Summers -

October 26, 2020

Business

Goldman Sachs settles probes into1MDB bribery scheme for over $2.9 billion

Marivic Cabural Summers -

October 23, 2020

SEC Order unregistered ICO

Financial Investigations

Kik agrees to pay $5M to settle SEC lawsuit over its 2017 unregistered ICO

Marivic Cabural Summers -

October 21, 2020

uBiome founders face fraud charges

Financial Investigations

Brazilian investment firm J&F pleads guilty to bribery, agrees to pay $283M penalty

Marivic Cabural Summers -

October 14, 2020

Robinhood users report fraudulent account activity, left in ‘limbo’ they say

Financial Investigations

Robinhood users report fraudulent account activity, left in ‘limbo’ they say

Colby McCoy -

October 10, 2020

Financial Investigations

John McAfee accused of tax evasion and fraudulently promoting ICOs

Marivic Cabural Summers -

October 5, 2020

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