The Securities and Exchange Commission (SEC) announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge ... Read More
The Securities and Exchange Commission (SEC) charged Robert Alexander with fraudulently raising approximately $9 million from more than 50 individuals by selling investments in Kizzang LLC, a purported online gaming ... Read More
The Securities and Exchange Commission announced that a federal court in Florida ordered Woodbridge Group of Companies LLC and its former owner to pay $1 billion in penalties and ... Read More
The Securities and Exchange Commission (SEC) announced that JPMorgan Chase Bank N.A. will pay more than $135 million to settle charges of improper handling of “pre-released” American Depositary Receipts ... Read More
The Commodity Futures Trading Commission (CFTC) announced an Order of default judgment and permanent injunction has been issued against defendants Scott Allensworth (d/b/a Capital Growth Group Associates and Cobra ... Read More
The Securities and Exchange Commission (SEC) has filed insider trading charges against an IT contractor and two others he illegally tipped with confidential client information he stole while working ... Read More
The Financial Conduct Authority (FCA) has issued a press release to inform that an individual sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud. In accordance ... Read More
The Cyprus Securities and Exchange Commission (CySEC) has issued an announcement to inform investors that on November 20, 2018, decided to suspend in whole the license of a Cyprus ... Read More
The Commodity Futures Trading Commission (CFTC) and the Utah Department of Commerce, Division of Securities, through its Attorney General, jointly filed a civil enforcement action in the U.S. District ... Read More
The Australian Securities & Investments Commission (ASIC) has issued an announcement to inform that ASIC has cancelled the Australian financial services (AFS) licence of the retail OTC derivative issuer, ... Read More
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