UPS to pay $45M penalty to settle SEC charges
The SEC today announced settled charges against United Parcel Service Inc. for materially misrepresenting its earnings.
SEC
SEC charges Touzi Capital in connection with $115M securities offering fraud
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The Securities and Exchange Commission (SEC) has filed a lawsuit against Eng Taing and the entity he controls, Touzi Capital, LLC.
SEC accuses Coinbase of hindering discovery process
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The Securities and Exchange Commission (SEC) and Coinbase have clashed over discovery in a lawsuit brought by the US regulator.
BitConnect founder has been fugitive for more than three years, SEC confirms
BitConnect, crypto fraud, featured, Satish Kumbhani, SEC
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The Securities and Exchange Commission (SEC) has not been able to locate BitConnect founder Satish Kumbhani.
SEC fines Lion Street Financial for violating Regulation Best Interest
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The Securities and Exchange Commission (SEC) today announced settled charges against Lion Street for violating Regulation Best Interest.
SEC charges former employee of Federal Reserve Bank of Richmond with insider trading
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The Securities and Exchange Commission (SEC) has filed a lawsuit against Robert Brian Thompson.
Invesco Advisers to pay $17.5M penalty to settle SEC charges
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Invesco Advisers allegedly made misleading statements about the percentage of assets under management that integrated ESG factors in investment decisions.
SEC proposes consent judgment against “money magnet” promoter Lakenya Hopkins
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Securities and Exchange Commission (SEC) has request the Court’s approval of a proposed consent judgment against Lakenya Hopkins.
SEC charges Wahed Invest with Marketing Rule violations
The Securities and Exchange Commission (SEC) has announced settled charges against Wahed Invest, LLC.
SEC files lawsuit against Dusan Varga and Pannon Investment Advisors
Dusan Varga, featured, SEC
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The Securities and Exchange Commission (SEC) has filed a lawsuit against Dusan Varga and Pannon Investment Advisors LLC.
