SEC imposes $800,000 fine on Maxim Group for Regulation SHO violations
The Securities and Exchange Commission (SEC) today announced settled charges against broker-dealer Maxim Group for violating federal securities laws.
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.
Without admitting or denying the findings, Citadel Securities consented to a cease-and-desist order imposing a censure and a $7 million penalty.
Goldman Sachs agreed to pay a $6 million penalty to resolve the SEC’s charges.
The SEC has brought an action to enjoin Empirex Capital LLC and its principal, Rafael Alberto Vargas Gonzalez.
The Securities and Exchange Commission has updated its list of unregistered entities that use misleading information to solicit investors.
The Securities and Exchange Commission (SEC) has announced settled charges against Xia Hong of San Jose, CA for insider trading.
The Securities and Exchange Commission (SEC) today charged Stoner Cats 2 LLC (SC2) with conducting an unregistered offering of crypto asset securities.