Business August 11, 2020
Interactive Brokers to pay $38M to settle with U.S. regulators
Interactive Brokers, a registered broker-dealer, agreed to pay a total of $38 million in penalties to settle the charges filed…
Business August 9, 2020
World Acceptance Corp to pay $21.7 million to settle SEC charges
World Acceptance Corporation (NASDAQ: WRLD), a consumer lender based in South Carolina, agreed to pay a total of $21.7 million…
Business August 6, 2020
SEC investigating insider trading of Kodak, Sen. Warren calls for action
The Securities and Exchange Commission (SEC) is investigating potential insider trading of shares of Eastman Kodak Company (NYSE: KODK) prior…
Investigates August 5, 2020
FTC investigation into Twitter data breach could cost $250M in fines
Social networking site Twitter announced on Monday that the Federal Trade Commission (FTC) sent them a draft complaint on July…
Regulatory Actions August 3, 2020
SEC charges Victor Farias with defrauding first responders out $14M
On July 30, 2020, David Peavler, Regional Director of the SEC’s Fort Worth Office announced charges against San Antonio-area businessman,…
Financial Investigations August 1, 2020
SEC charges former Georgia state legislator Dean Alford in Ponzi scheme
The Securities and Exchange Commission (SEC) filed a complaint against Clarence Dean Alford, a former legislator and a former Board…
Business July 29, 2020
VALIC Financial Advisors (VFA) to pay $40 million to settle SEC charges
The Securities and Exchange Commission (SEC) announced that VALIC Financial Advisors (VFA) agreed to pay approximately $40 million to settle…
Financial Investigations July 26, 2020
DOJ charges Trustify co-founder Daniel Boice for defrauding investors
Trustify Co-founder and CEO Daniel Boice is facing criminal charges filed by the Fraud Section of the U.S. Department of…
Investigates July 25, 2020
YouPlus founder Shaukat Shamim accused of fraud in fundraising efforts
The Securities and Exchange Commission (SEC) has charged Shaukat Shamin, founder and CEO of YouPlus, with defrauding his investors by…
Financial Investigations July 22, 2020
UBS to pay $10 million to settle SEC allegations of bond flipping
UBS Financial Services Inc. agreed to pay more than $10 million to settle charges filed by the Securities and Exchange…
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