SEC

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KPMG to settle charges by paying a $50 million penalty

19/06/2019(0)
The Securities and Exchange Commission (SEC) charged KPMG LLP with altering past audit work after receiving stolen information about inspections of the firm that would be conducted by the ... Read More
initial coin offering

Issuer charged with Conducting $100 Million Unregistered Initial Coin Offering

12/06/2019(0)
The Securities and Exchange Commission (SEC) sued Kik Interactive Inc. for conducting an illegal $100 million securities offering of digital tokens. The SEC charges that Kik sold the tokens to ... Read More
forex scam

Beware: Emergency Order against Ponzi scheme targeting hundreds of investors

23/05/2019(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that it has obtained a court order halting an ongoing $30 million Ponzi scheme targeting more than ... Read More
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U.S financial services firm pay penalty to settle failure

14/03/2019(0)
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
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Founder of online gaming company charged for defrauding investors

11/02/2019(0)
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
fined

Executives to pay Millions to settle initial coin offering scam charges

13/12/2018(0)
Two former executives behind an allegedly fraudulent initial coin offering (ICO) that was stopped by the Securities and Exchange Commission (SEC) earlier this year have been ordered in federal ... Read More
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Three Broker-Dealers to pay more than $6 Million in penalties

13/12/2018(0)
The Securities and Exchange Commission (SEC) announced that three broker-dealers have agreed to pay more than $6 million to settle charges for providing the SEC with incomplete and inaccurate ... Read More
insider trading 2

SEC halts alleged insider trading ring spanning three countries

07/12/2018(0)
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
initial coin offering

Boxer Floyd Mayweather and music producer Khaled Khaled charged with unlawfully touting Coin Offerings

04/12/2018(0)
The Securities and Exchange Commission (SEC) announced settled charges against professional boxer Floyd Mayweather Jr. and music producer Khaled Khaled, known as DJ Khaled, for failing to disclose payments they ... Read More
initial coin offering

Two Initial Coin Offering issuers settle registration charges

20/11/2018(0)
The Securities and Exchange Commission (SEC) announced settled charges against two companies that sold digital tokens in initial coin offerings (ICOs). These are the Commission’s first cases imposing civil ... Read More
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