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SEC

forex scam

Beware of fraudulent initial coin offering

12/10/2018(0)
The Securities and Exchange Commission (SEC) announced that it has obtained an emergency court order halting a planned initial coin offering (ICO), which backers falsely claimed was approved by ... Read More
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Emergency action filed against a Swiss-based company for microcap fraud scheme

09/10/2018(0)
The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against two individuals and their companies in a scheme that generated more than $165 ... Read More
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U.S. financial regulator awarded almost $4 Million to an overseas whistleblower

26/09/2018(0)
The Securities and Exchange Commission announced that it has awarded nearly $4 million to an overseas whistleblower whose tip led it to open an investigation and whose extensive assistance ... Read More
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SEC shuts down a $345 million Ponzi-like scheme

24/09/2018(0)
The Securities and Exchange Commission (SEC) announced it has obtained a court order halting an ongoing Ponzi-like scheme that raised more than $345 million from over 230 investors across the ... Read More
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Broker-Dealer to pay $2.75 million penalty

14/09/2018(0)
The U.S. financial regulator Securities and Exchange Commission (SEC) announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75 million to settle charges ... Read More
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Two brokers charged with defrauding customers

11/09/2018(0)
The Securities and Exchange Commission (SEC) charged two brokers for recommending excessive levels of trading that were costly for retail customers but lucrative for the brokers. In separate complaints ... Read More
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US Securities and Exchange Commission halts trading in two cryptocurrency products

10/09/2018(0)
The U.S. Securities and Exchange Commission (SEC) said on Sunday it was immediately suspending trading in two investment products that track cryptocurrencies, citing confusion in the markets over whether ... Read More
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Two men charged with fraud in fake trading accounts scheme

07/09/2018(0)
The Securities and Exchange Commission (SEC) charged two Michigan men with fraud for their roles in a fake accounts scheme perpetrated by a phony day-trading firm, Nonko Trading. The ... Read More
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Moody’s credit ratings agency to pay $16.25 million in penalties to settle charges

29/08/2018(0)
The U.S Regulator, Securities and Exchange Commission (SEC), announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of ... Read More
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Enormous refund ordered to USA retail investors for being misled

28/08/2018(0)
The Securities and Exchange Commission (SEC) announced charges against four Transamerica entities for misconduct involving faulty investment models and ordered the entities to refund $97 million to misled retail ... Read More
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