Financial Investigations July 30, 2018
Silicon Valley Executive Agrees to Pay Fine on Charges of Insider Trading
A former senior executive at a Silicon Valley fiber optics company agreed to settle charges of insider trading by the…
Financial Investigations June 25, 2018
Securities and Exchange Commission Halts $102 Million Ponzi Scheme
Unprecedented Ponzi Scheme The Securities and Exchange Commission files charges and obtains an asset freeze against numerous individuals and their…
Financial Investigations June 20, 2018
Merrill Lynch Acknowledges Misleading Customers about Trading Venues
Misleading Customers The Securities and Exchange Commission charges Merrill Lynch, Pierce, Fenner & Smith with misleading customers about how it…
Financial Investigations June 11, 2018
Merrill Lynch Charged by SEC for Failing to Supervise RMBS Traders
Merrill Lynch Breach of Fiduciary Responsibility The Securities and Exchange Commission levies hefty monetary penalties on preeminent Wall Street brokerage…
Financial Investigations June 5, 2018
Securities and Exchange Commission Terminates Fraudulent Coin Offering Scheme
Fraudulent Coin Offering Scheme The Securities and Exchange Commission obtains a court order halting an ongoing fraud. The illegal operation…
Financial Investigations June 5, 2018
Investment Banker and International Insider Trading Scheme
Trading Scheme Greed Run Rampant The Securities and Exchange Commission charges an employee of a prominent investment bank. The charges are a…
Financial Investigations June 1, 2018
Thirteen Private Fund Advisers Penalized by SEC for Recurring Filing Failures
Investment Advisers and Recurring Filing Failures The Securities and Exchange Commission announces settlements with more than a dozen registered investment…
Financial Investigations June 1, 2018
Investment Advisers’ Failure to Disclose Conflicts of Interest Mislead Retail Clients
Breach of Fiduciary Responsibility and Conflicts of Interest The Securities and Exchange Commission publicizes the transgressions of a New York-based…
Financial Investigations May 29, 2018
Securities Fraud and Non-Existing Contracts In Foreign Countries
CEO Stung For Securities Fraud The chief executive officer of RVPlus Inc., a publicly traded microcap company, receives a conviction…
Financial Investigations May 16, 2018
Cambridge Hedge Fund Manager Sentenced for Investment Fraud Scheme
Investment Fraud Scheme The owner of two Cambridge-based investment advisory firms receives sentence in connection with a scheme to defraud…
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