SEC charges Laidlaw and Company (UK) with violations of Regulation Best Interest
The SEC today announced settled charges against Laidlaw and Company (UK) Ltd. and two of its registered representatives.
The SEC today announced settled charges against Laidlaw and Company (UK) Ltd. and two of its registered representatives.
The SEC has reached settlements in its case against Defendant Bell Rock Capital, LLC, and its principal, Defendant M. Cassandra Toroian.
The SEC has charged Matthew Melton for fraud in connection with material misrepresentations to investors about his Price Physics algorithm.
The SEC today announced charges against Jake Soberal and Irma Olguin, Jr., the former co-CEOs of private technology services startup Bitwise Industries.
The Court has entered a final consent judgment against Jeremy Shor, a trader for a private fund advised by Premium Point Investments LP.
The SEC seeks summary judgment on all the SEC’s claims against Terraform Labs Pte Ltd and Do Hyeong Kwon.
The SEC’s legal action against Tadrus Capital has been stayed, following a request by the US Government.
PayPal confirmed today that it has received a subpoena from the Securities and Exchange Commission (SEC) regarding its USD stablecoin.
The SEC today charged SafeMoon LLC, its creator Kyle Nagy, SafeMoon US LLC, and the companies’ CEO and CTO for a massive fraudulent scheme.
Conlan misappropriated material nonpublic information about the upcoming acquisition by purchasing GCAP stock later that day.