Financial Investigations June 10, 2020
SEC orders Argo Group International to pay civil penalty over disclosure failure
Argo Group International Holdings, Ltd., an insurance company based in Bermuda, agreed to settle the charges against it by the…
Business June 1, 2020
SEC orders BitClave to return $25.5 million to be distributed to its ICO investors
BitClave PTE Ltd. agreed to settle the charges filed by the Securities and Exchange Commission (SEC), alleging that the blockchain…
Financial Investigations May 27, 2020
Ares Management to pay $1 million to settle SEC charges over its compliance failures
Ares Management, a private equity firm based in Los Angeles, California agreed to pay $1 million to resolve the charges…
California News May 22, 2020
SEC stops California investment adviser’s Ponzi scheme targeting seniors
The Securities and Exchange Commission (SEC) stopped an investment adviser and his entities’ Ponzi scheme targeting senior citizens in Southern…
Business May 21, 2020
Investors file class-action lawsuit against Block.one over its alleged “fraudulent scheme”
Block.one, a blockchain software company that developed the cryptocurrency or digital token called EOS, is facing a class-action lawsuit. The…
Investigates May 15, 2020
SEC sues Applied BioSciences, Turbo Global over misleading claims related to COVID-19
The Securities and Exchange Commission (SEC) filed separate complaints against Applied BioSciences and Turbo Global Partners for allegedly making misleading…
Financial Investigations May 13, 2020
Morgan Stanley Smith Barney to pay $5 million to settle SEC charges
Morgan Stanley Smith Barney (MSSB) agreed to pay a penalty of $5 million to settle the administrative proceeding launched against…
Investigates May 1, 2020
SEC sues Praxsyn and its CEO over alleged COVID-19 scam
The Securities and Exchange Commission (SEC) filed a lawsuit Praxsyn Corporation and its CEO, Frank Brady, over its alleged fraudulent…
Investigates April 25, 2020
SEC sues Dropil and its founders for allegedly conducting fraudulent ICO
The Securities and Exchange Commission (SEC) filed a lawsuit against Dropil Inc., a California-based company operating a cryptocurrency platform, for…
Financial Investigations April 21, 2020
SEC orders three investment advisory firms to return money to investors
The Securities and Exchange Commission (SEC) ordered three investment advisory firms to reimburse investors harmed by their inadequate disclosure practices.…
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