The U.S. Securities and Exchange Commission has released a Public Statement by Chairman Jay Clayton in relation to the North American Securities Administrators Association (NASAA) announcement of enforcement sweep ... Read More
The Securities and Exchange Commission (SEC) charged four individuals for their roles in a fraudulent scheme that generated nearly $34 million from unlawful stock sales and caused significant harm ... Read More
The Securities and Exchange Commission announced the unsealing of fraud charges against a Mississippi company and its principal who allegedly bilked at least 150 investors in an $85 million ... Read More
The Securities and Exchange Commission (SEC) announced that Altaba formerly known as Yahoo! Inc. has agreed to pay a $35 million penalty to settle charges that it misled investors ... Read More
The Securities and Exchange Commission has obtained a court order freezing more than $27 million in trading proceeds from allegedly illegal distributions and sales of restricted shares of Longfin ... Read More
The Securities and Exchange Commission (SEC) announced it obtained an emergency asset freeze to halt a fast-moving Initial Coin Offering (ICO) fraud that raised up to $15 million from ... Read More
The Securities and Exchange Commission (SEC) charged Oyster Bay, New York, and its former top elected official with defrauding investors in the town’s municipal securities offerings by hiding the ... Read More
The U.S. Securities and Exchange Commission has issued a warning to inform investors to beware online “paid-to-click” scams that promise an easy payday by merely purchasing a membership or ... Read More
Investment advisory firm Millennium Management LLC has agreed to pay more than $630,000 to settle charges that it shorted U.S. stocks in companies planning follow-on offerings and then illegally ... Read More
The Securities and Exchange Commission charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that ... Read More
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