SEC fines 24k Markets owner “Swaggy C”
The SEC today announced settled charges against Christopher Williams for acting as an unregistered broker.
SEC
SEC announces settled charges against Snowden Capital Advisors
The Securities and Exchange Commission (SEC) announced today settled charges against Snowden Capital Advisors LLC, a registered investment adviser.
SEC charges Blox Lending, Digital Licensing, their principals with alleged $200M offering fraud
The Securities and Exchange Commission (SEC) today announced it has filed charges against Blox Lending, LLC, and its principal Jason R. Anderson.
SEC announces settled charges against TAG Associates
The SEC today announced settled charges against TAG Associates LLC, an investment adviser, for violations of rules regarding the custody of client funds.
Jefferies agrees to pay $650k civil penalty to resolve SEC charges
The Securities and Exchange Commission (SEC) today announced settled charges against Jefferies LLC, a registered broker dealer.
SEC charges Kalder, its founder with allegedly defrauding investors in $6.7M securities offering
The Securities and Exchange Commission (SEC) today announced that it filed a partially-settled action against New York-based fintech start-up Kalder Inc.
SEC announces settled charges against J.P. Morgan for alleged violations of Securities Exchange Act
The Securities and Exchange Commission (SEC) today announced settled charges against JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC.
SEC charges Cryptoaiml and TSAI Pro in connection with $15M fraudulent investment schemes
The Securities and Exchange Commission (SEC) today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors.
SEC files lawsuit against Jeremiah Silkowski and SQN Capital Management
The Securities and Exchange Commission (SEC) has filed a lawsuit against Jeremiah Silkowski and SQN Capital Management LLC.
SEC charges Ernest Ossei Boateng, Intercontinental Wealth Network in alleged $16M Ponzi scheme
The Securities and Exchange Commission (SEC) today charged Ernest Ossei Boateng and two companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP.
