The SEC has outlined the proposed penalties against fraudulent cryptocurrency scheme Meta 1 Coin Trust and individuals linked to it.
The SEC has filed a settled action against investment adviser representative John P. Mendes and former corporate insider Andre Dabbaghian.
Morgan Stanley Smith Barney LLC (MSSB) has agreed to pay a $35 million penalty to settle the SEC charges.
From April 2018 into July 2018, Sparkster conducted an unregistered securities offering of crypto assets called “SPRK tokens.”
The SEC has filed fraud charges against Gabriel Edelman and his affiliated entities, Creative Advancement and Edelman Blockchain Advisors.
The SEC has charged Chicago Crypto Capital LLC, its owner, Brian Amoah, and former salesmen with unregistered offering of crypto asset securities.
The SEC charged Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor.
The SEC has brought charges against Oppenheimer & Co. Inc. and announced settlements with BNY Mellon, TD Securities, and Jefferies LLC.
The SEC has charged Money Magnet Platinum Membership Initiative LLC (“MMPMI”) and its principal, LaKenya Hopkins.
The SEC has charged Archer Capital Management Group, the Archer Growth Fund, and two related entities with operating a fraudulent scheme.