Pump and Dump Scheme Busted
The Securities and Exchange Commission ( SEC ) and the US Department of Justice busted an international micro-cap pump and dump stock scheme.
January 2020
AFME, FIA, ICMA, ISDA and ISLA publish Master Regulatory Reporting Agreement
AFME, FIA, ICMA, ISDA and ISLA have published a new Regulatory Reporting Agreement intended to simplify reporting across different European Union.
Intercontinental Exchange Appoints Mike Blandina as CEO of Bakkt and Adam White as President of Bakkt
ATLANTA--(BUSINESS WIRE)-- Intercontinental Exchange, Inc.
SEC Charges Recidivist Investment Adviser With Defrauding Retirees
SEC today charged Sacramento, California-based investment adviser firm Springer Investment Management, Inc. dba Springer Financial Advisors.
Phase One Deal Signing Ceremony Boosts Stocks
Asian indices started the new year with gains as investors await the signing ceremony on January 15th of the phase one deal between China and the USA.
SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion
The Securities and Exchange Commission today announced the appointment of Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion.
December 2019
Credit Agricole Announces Series of Major Changes to Its C-level Leadership Team
Credit Agricole S.A. a France headquartered multinational banking service provider has announced a series of changes to its senior-level leadership team.
SEC Files Charges in Ponzi Scheme Targeting Hispanic Community
SEC today announced charges against Edward Espinal and his company, Cash Flow Partners LLC, in connection with an alleged $5 million Ponzi scheme.
SEC Names David Bottom as Chief Information Officer
The Securities and Exchange Commission (SEC) today announced that David Bottom has been appointed as the agency’s Chief Information Officer (CIO).
NEO Finance did not properly advertise services
The Supervision Service of Bank, after examining the NEO Finance available on the social network did not properly present information on consumer credits.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.