March 26, 2020
The Securities and Exchange Commission – SEC today announced an award of more than $1.6 million to a whistleblower whose information tipped the agency to securities law violations and helped …
Continue reading “SEC Awards Over $1.6 Million to Whistleblower”
March 24, 2020
Washington D.C., March 20, 2020 —The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief to halt an ongoing securities fraud which …
Continue reading “SEC Emergency Action Stops Digital Asset Scam”
March 19, 2020
Washington D.C., March 16, 2020 — Today, jurors in New Haven, Connecticut, federal court returned a verdict in the Securities and Exchange Commission‘s favor against an investment adviser and its …
Continue reading “Jury Finds Investment Adviser and its Owner Liable for Fraud”
March 15, 2020
Washington D.C., March 12, 2020 — Jurors in Los Angeles federal court yesterday returned a verdict in the Securities and Exchange Commission’s favor against a microcap fraudsters, Curative Biosciences Inc., …
Continue reading “SEC Wins Jury Trial Against Microcap Fraudsters”
March 13, 2020
Washington D.C., March 10, 2020 — On March 6, 2020, the Securities and Exchange Commission obtained an asset freeze and other emergency relief against Florida investment adviser Kinetic Investment Group …
Continue reading “SEC Halts Fraudulent Offering By Florida Investment Adviser”
March 10, 2020
Washington D.C., March 4, 2020 — The Securities and Exchange Commission today announced that it has voted to propose a set of amendments that would harmonize, simplify, and improve the …
March 9, 2020
This Committee staff report shines a much-needed spotlight on ‘The Real Wells Fargo,’ a reckless megabank with an ineffective board and management that has exhibited an egregious pattern of consumer abuses
March 9, 2020
Washington D.C., March 4, 2020 — The Securities and Exchange Commission today announced Kathleen M. Hutchinson as the new Deputy Director in the agency’s Office of International Affairs (OIA), which …
Continue reading “SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs”
March 9, 2020
Washington D.C., March 4, 2020 —Today, the Securities and Exchange Commission announced that it is providing conditional regulatory relief for certain publicly traded company filing obligations under the federal securities …
March 3, 2020
Washington D.C., Feb. 25, 2020 — The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers. …
