SEC stops short of fining Linus Financial for unregistered sale of retail crypto lending product
Linus Financial agreed to a cease-and-desist order prohibiting it from violating the registration provisions of the Securities Act of 1933.
Linus Financial agreed to a cease-and-desist order prohibiting it from violating the registration provisions of the Securities Act of 1933.
The Commission alleges that Jeremy Koski fabricated and anonymously posted fake documents on internet message boards.
The Securities and Exchange Commission has announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc.
The SEC today announced charges against Archipelago Trading Services Inc. (ATSI) for failing to file hundreds of SARs.
The SEC today charged Impact Theory, LLC with conducting an unregistered offering of crypto assets in the form of purported NFTs.
The SEC today charged Wells Fargo for overcharging more than 10,900 investment advisory accounts more than $26.8 million in advisory fees.
Judge Frederic Block of the New York Eastern District Court has issued a preliminary injunction against Tadrus Capital.
Fundrise made cash payments to over 200 social media influencers and publishers of online newsletters to solicit clients.
The SEC today announced charges against Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser.
The SEC has brought charges against Keith Crews for conducting an affinity fraud through Stem Biotech LLC and Four (4) Square Biz LLC