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29 Jan 2024, 2:36 pm
The Securities and Exchange Commission today charged Xue Lee (aka Sam Lee) and Brenda Chunga (aka Bitcoin Beautee) for their involvement in a fraudulent crypto asset pyramid scheme known as HyperFund that raised more than $1.7 billion from investors…Read the Full Press Release Have a securities law question? [read post]
29 Jan 2024, 12:00 pm
Ponzi Scheme Allegations April 19, 2022 – Financial Advisor Shawn Good Barred after Allegations of Running Ponzi Scheme Financial advisor Shawn Good from Wilmington, NC, was charged by the Securities and Exchange Commission (SEC) for allegedly running a multimillion-dollar Ponzi scheme. [read post]
29 Jan 2024, 12:15 am
To date, I have found only a small handful of references to the term "degrowth" in filings made with the Securities and Exchange Commission. [read post]
26 Jan 2024, 1:40 pm
Data Security Breach September 27, 2018 –The Securities and Exchange Commission (SEC) has censured and fined Voya Financial Advisors $1 million over a data security breach in April 2016. [read post]
26 Jan 2024, 8:58 am
Securities and Exchange Commission (SEC) or Commodities Futures Trading Commission (CFTC). [read post]
26 Jan 2024, 8:56 am
The Securities and Exchange Commission today announced that Northern Star Investment Corp. [read post]
26 Jan 2024, 8:27 am
Ex-Morgan Stanley Advisor Allegedly Defrauded 10 Clients of $3.45 Million The Securities and Exchange Commission (SEC) has reportedly filed charges against Jesus Rodriguez, (CRD# 4888685) a former financial advisor, for defrauding ten brokerage account holders and advisory clients of over $3.475 million. [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
26 Jan 2024, 6:30 am
Securities and Exchange Commission, on Thursday, January 25, 2024 Tags: IPOs, SEC, Shell Companies, SPACs, Special purpose acquisition companies [read post]
26 Jan 2024, 6:00 am
Coinbase has asked the court to dismiss the Securities and Exchange Commission’s lawsuit alleging the largest U.S. crypto exchange is flouting its rules. [read post]
READ BELOW: Financial Advisor, Jesus Rodriguez, Faces SEC Charges for Stealing Millions from Clients
26 Jan 2024, 5:03 am
Introduction: In a recent development, the Securities and Exchange Commission (SEC) has filed charges against Jesus Rodriguez, a former financial advisor, for perpetrating a massive fraud scheme. [read post]
25 Jan 2024, 9:01 pm
” Unlike whistleblower programs run by agencies like the Securities and Exchange Commission, Commodity Futures Trading Commission and the Financial Crimes Enforcement Network of the Department of the Treasury, the Program does not offer financial incentives for reporting misconduct. [read post]
25 Jan 2024, 6:06 pm
Shares trade on a national securities exchange. [read post]
25 Jan 2024, 1:15 pm
The Securities and Exchange Commission today announced that Northern Star Investment Corp. [read post]
25 Jan 2024, 8:35 am
The civil action, initiated by the Securities and Exchange Commission (SEC), alleged that McKelvey misappropriated over $1.7 million from two elderly brokerage customers who were close relatives. [read post]
25 Jan 2024, 6:32 am
Securities and Exchange Commission. [read post]
25 Jan 2024, 6:32 am
Securities and Exchange Commission. [read post]
25 Jan 2024, 6:31 am
Securities and Exchange Commission. [read post]
25 Jan 2024, 6:31 am
Securities and Exchange Commission. [read post]
25 Jan 2024, 6:20 am
The Securities and Exchange Commission today announced settled charges against Aon Investments USA Inc., a Chicago-based registered investment adviser, and the firm’s former partner, Claire P. [read post]
