Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Securities and Exchange Commission

sec

The Securities and Exchange Commission charges 13 private fund advisers

04/06/2018(0)
The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. According to ... Read More
fraud - red stamp

Individuals charged in international unlawful stock sales scheme

17/05/2018(0)
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
legal-onestopbrokers

$27 million in stock sales of purported cryptocurrency company freezes

16/04/2018(0)
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
Ponzi-scheme-1

Charges against a $1.2 billion Ponzi scheme targeting thousands of investors

22/12/2017(0)
The Securities and Exchange Commission today announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors, many ... Read More
sec

Broker charged with giving special access to IPOs for cash kickbacks

20/12/2017(0)
The Securities and Exchange Commission charged a Wall Street stockbroker with illegally accepting more than $1 million in undisclosed kickbacks for giving certain customers preferential access to lucrative IPOs, ... Read More
fraud - red stamp

Long Island Town and Former Top Official Charged With Defrauding Municipal Investors

23/11/2017(0)
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
forex scam

Investors Beware To Online Paid-To-Click Scams

08/11/2017(0)
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
sec-logo

Investment advisory firm to pay more than $630,000 to settle charges

01/11/2017(0)
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
fraud - red stamp

Former Private Equity Firm Partner Charged With Secretly Billing Clients for His Vacations and Salon Visits

26/10/2017(0)
The Securities and Exchange Commission charged Mohammed Ali Rashid, a former senior partner at Apollo Management L.P., with defrauding his fund clients by secretly billing them for approximately $290,000 ... Read More
Broker Cyprus TopFX