SEC orders Cadaret, Grant & Co to pay over $6M
The SEC today announced settled charges against investment adviser Cadaret, Grant & Co., Inc., for breaches of its fiduciary duty.
SEC
SEC charges Pacific Financial with Marketing Rule violation
featured, Pacific Financial, SEC
0 Comments
The Securities and Exchange Commission (SEC) today announced settled charges against The Pacific Financial Group, Inc.
SEC brings fraud charges against Taylor Woods and Howard Wu
The Securities and Exchange Commission (SEC) has filed a complaint against Taylor Woods and Howard Wu.
SEC charges South Bay Acquisitions in connection with alleged Ponzi scheme
The SEC today charged South Bay Acquisitions, LLC and its principal, John N. Matson of San Diego, California, with defrauding investors.
SEC charges individual with insider trading ahead of announcement of ADT partnership with Google
featured, Google, insider trading, SEC
0 Comments
The Securities and Exchange Commission (SEC) has charged Palm Beach County resident Charles Baugh with violations of the anti-fraud provisions.
SEC charges BitClout founder Nader Al-Naji with fraud
BitClout, crypto fraud, featured, SEC
0 Comments
The Securities and Exchange Commission today charged Nader Al-Naji with perpetrating a multi-million-dollar fraudulent crypto asset scheme.
SEC takes former CEO of Digital World Acquisition Corp to Court
DWAC, featured, SEC, SPAC, Trump Media
0 Comments
The Securities and Exchange Commission (SEC) has filed a complaint against Patrick Orlando, former CEO and Chairman of DWAC.
SEC approves MIAX Sapphire’s application for registration as national securities exchange
The SEC has approved MIAX Sapphire LLC’s application for registration as a national securities exchange.
SEC obtains final judgment against investment adviser charged with running fraudulent investment scheme
The Securities and Exchange Commission (SEC) has obtained a final judgment against Evarist C. Amah, an investment adviser.
SEC obtains Court order imposing $1.1M penalty on former Apple attorney for insider trading
Apple, featured, insider trading, SEC
0 Comments
The U.S. District Court for the District of New Jersey has granted the SEC summary judgment for insider trading charges against Gene Daniel Levoff.
