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
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
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
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 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
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
The Securities and Exchange Commission (SEC) announced settled charges against Zachary Coburn, the founder of EtherDelta, a digital “token” trading platform. This is the SEC’s first enforcement action based ... Read More
The Securities and Exchange Commission (SEC) announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). ADRs ... Read More
The Securities and Exchange Commission (SEC) suspended three former BDO USA LLP accountants for their improper professional conduct during an audit of an exchange-listed insurance company. According to the SEC’s ... Read More
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