SEC secures judgment against Thor Technologies for unregistered crypto offering
The SEC has obtained a judgment against Thor Technologies and its CEO for conducting a $2.6 million unregistered crypto offering.
The SEC has obtained a judgment against Thor Technologies and its CEO for conducting a $2.6 million unregistered crypto offering.
The proposal would require securities exchanges to have certain anti-evasion rules if they offer volume-based transaction pricing.
The SEC has announced charges against Brian Marc Rubin of Deerfield, Illinois, for insider trading in stock options of Array BioPharma.
The investigation concerns potential violations of the federal securities laws in connection with Musk’s 2022 purchases of Twitter stock.
The SEC has obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Zera Financial LLC.
The SEC has charged five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers.
The Securities and Exchange Commission (SEC) today announced settled charges against broker-dealer Maxim Group for violating federal securities laws.
The SEC has charged Florida company, The Diamond Desk Corporation and its sole owner and principal, Adam J. Lowe.
The SEC today charged Matthew Motil, host of the podcast, “The Cash Flow King,” for fraudulently raising approximately $11 million.
Deutsche Bank subsidiary DWS will pay $25 million for anti-money laundering violations and misstatements regarding ESG investments.