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Securities and Exchange Commission

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
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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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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
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Citibank agreed to pay millions to settle charges

08/11/2018(0)
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
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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