The US Securities and Exchange Commission (SEC) has claimed that cryptocurrency company NovaTech and its co-founders on Monday (12 August) have fraudulently raised more than $650m from over ...
The Securities and Exchange Commission has charged two brothers, Jonathan Adam and Tanner Adam, with an alleged $60 million ...
The SEC said that under the settlements, companies Acadia Healthcare, a.k.a. Brands Holding, AppFolio, IDEX, LSB Industries, Smart for Life, and TransUnion agreed to pay individual civil penalties ...
Quick Take: The SEC announced that it had settled charges against a registered investment adviser (Adviser) for failing to establish, maintain, and enforce written policies and procedures ...
In September 2022, the SEC fined 15 broker/dealers and one investment advisor $1.1 billion to settle charges of “widespread and long-standing failures” with firms’ compliance practices ...
As discussed in this press release, the SEC has announced Orders settling charges against Ideanomics, Inc., its current CEO and former CFO, as well as its former Chair and CEO, for alleged ...
The Securities and Exchange Commission today announced fraud charges against Nicholas Bowerman, a former finance director at Circor International. The SEC alleges that Bowerman manipulated Circor's ...
The 88-year-old investor agreed to settle the SEC investigation, but both he and his firm stopped short of admitting or denying the allegations. REUTERS In exchange, he was granted more than $4.6 ...
The SEC said Raskob Kambourian charged 59 clients $1.36 million more in fees than were authorized under the fee schedules set forth in client agreements. The Tuscon-Ariz.-based registered ...
Winkler, Director of the SEC’s San Francisco Regional Office. RELATED: California state agency takes action against businesswoman accused of alleged Ponzi scheme Now that the charges are filed ...
Aug 19 (Reuters) - Billionaire investor Carl Icahn and his firm Icahn Enterprises LP (IEP) (IEP.O), opens new tab have settled charges that ... had sparked the SEC probe, which identified failures ...
