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United States SEC Charged Lithuania Citizen Justinas Butkus & His 2...

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United States SEC Charged Lithuania Citizen Justinas Butkus & His 2 Companies (HMC Trading & HMC Management) for Mutual Fund Fraud Raising $4.1 Million...

United States SEC Drops Charges Against Crypto Platform Coinbase for Illegal...

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United States SEC Drops Charges Against Crypto Platform Coinbase for Illegal Offering of Securities & Operating as Unregistered Securities Exchange 28th February 2025 | Hong...

United States SEC Charged Never Alone Capital Founder Alan Burak for...

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United States SEC Charged Never Alone Capital Founder Alan Burak for Investment Fund Fraud Raising $4 Million from 2018 to 2023 & Misappropriating Most...

United States SEC to Drop Charges Against Crypto Platform Coinbase for...

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United States SEC to Drop Charges Against Crypto Platform Coinbase for Illegal Offering of Securities & Operating as Unregistered Securities Exchange 23rd February 2025 |...

United States SEC Issues New Guidance on Shareholder Engagement with United...

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United States SEC Issues New Guidance on Shareholder Engagement with United States Companies: 1) Extended Disclosures for Shareholders with Large Equity Stake (> 5%...

United States SEC Fines One Oak Capital Management & ex-Advisor Michael...

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United States SEC Fines One Oak Capital Management & ex-Advisor Michael DeRosa $225,000 for Advisory Misconduct, Converted 180 Brokerage Accounts to Advisory Accounts with...

United States SEC Fines Digital Currency Group & Subsidiary Genesis Global...

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United States SEC Fines Digital Currency Group & Subsidiary Genesis Global Capital ex-CEO Soichoro “Michael” Moro $38.5 Million for Misleading Investors About Genesis Financials...

United States SEC Charged Advisor Scott J. Mason & His 2...

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United States SEC Charged Advisor Scott J. Mason & His 2 Companies Rubicon Wealth Management & Orchard Park Real Estate Holdings for Misappropriating $20...

United States SEC Charged Arete Wealth Entities & Staffs Including Chief...

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United States SEC Charged Arete Wealth Entities & Staffs Including Chief Compliance Officer & General Counsel for Fraud, Cover-Up, Record-Keeping & Violating Securities Law,...

United States SEC Fines LPL Financial $18 Million for Failures in...

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United States SEC Fines LPL Financial $18 Million for Failures in Money Laundering from 2018 to 2023 Including Failing to Close Accounts Which Had...