Tag: United States SEC
United States SEC Charged Ex-CEO & Co-Founder of Advertising Technology Alfi...
United States SEC Charged Ex-CEO & Co-Founder of Advertising Technology Alfi Inc for False & Misleading Statements on Social Media YouTube after IPO in...
United States SEC Fines Bankrupt Electric Pickup Truck Lordstown Motors $25.5...
United States SEC Fines Bankrupt Electric Pickup Truck Lordstown Motors $25.5 Million for Misleading Investors on Demand of Pickup Trucks with More than 100,000...
United States SEC Charged Husband of M&A Manager at Oil &...
United States SEC Charged Husband of M&A Manager at Oil & Gas Giant BP for Insider Trading with $1.76 Million Profit, Overheard Wife Working...
United States Court Allows Class Action Fraud Lawsuit Against Barclays for...
United States Court Allows Class Action Fraud Lawsuit Against Barclays for Overselling in $17.7 Billion New Securities Issuance Due to Lack of Internal Control...
$1.5 Trillion Asset Manager Franklin Templeton Files for Spot Ethereum ETF...
$1.5 Trillion Asset Manager Franklin Templeton Files for Spot Ethereum ETF Listing, Joins Leading Asset Managers BlackRock & Fidelity with Spot Bitcoin ETF Listing,...
United States SEC Fines 16 Brokers, Dealers & Investment Advisors $81...
United States SEC Fines 16 Brokers, Dealers & Investment Advisors $81 Million for Failure to Keep Record of Text Messages, 16 Firms Fined Include...
United States SEC Settles Accounting Fraud Charges Against China-Based Tech Company...
United States SEC Settles Accounting Fraud Charges Against China-Based Tech Company Cloopen Group, No Penalty Imposed Due to Self-Reporting, Cooperation & Remediation
10th February 2024...
United States SEC Implements Amendments to Private Fund & Hedge Fund...
United States SEC Implements Amendments to Private Fund & Hedge Fund Reporting, Large Hedge Fund To Provide Information Including Investment Exposure, Borrowings & Portfolio...
United States SEC Charged HyperFund Founder Xue Lee aka Sam Lee...
United States SEC Charged HyperFund Founder Xue Lee aka Sam Lee & Promoter Brenda Chunga aka Bitcoin Beautee for $1.7 Billion Fraud Operating a...
United States SEC Fines Aon Investments $1.54 Million & Former Partner...
United States SEC Fines Aon Investments $1.54 Million & Former Partner Claire P. Shaughnessy $30,000 for Misleading Investment Calculation for $72 Billion Pension Fund...
