SEC also alleged that the brokerage firms executing WBI’s client trades boosted the execution prices by $0.02 to $0.03 per…
Read More
VFA to pay $40 million to settle charges brought by SEC
The US regulator also discovered that VFA did not disclose conflict of interest concerning millions of dollars of financial benefits…
Read More
SEC charges online marketplace Trustify Inc. with $18.5 million fraud
Kelly L. Gibson, Director of the SEC’s Philadelphia Regional Office commented: As alleged in our complaint, Boice and Trustify lied…
Read MoreUBS to pay $10 million in settling charges for “flipping” municipal bond offering
SEC has previously brought similar charges of municipal bond offering “flipping” and retail order period abuses in August 2018, December…
Read MoreSEC charges co-founder of IIG with fraud for involvement in a $60 million Ponzi scheme
Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office said: As alleged, Hu’s deception caused substantial losses…
Read More
Whistleblower receives almost $4 million award from SEC
So far, the agency has awarded over $505 million to 87 individuals for their help since the first award was…
Read MoreTelegram agrees to pay over $1.2 billion in settlement over its digital token Grams
Lara Shalov Mehraban, Associate Regional Director of the New York Regional Office commented: Our emergency action protected retail investors from…
Read MoreWhistleblower receives $125,000 award from SEC
So far, the agency has awarded over $501 million to 85 individuals for their help since the first award was…
Read MoreWhistleblower receives nearly $700K award from SEC
So far, the agency has awarded over $501 million to 84 individuals for their help since the first award was…
Read More
Broker defrauds seniors out of nearly $1 million
Justin Jeffries, Associate Regional Director for the SEC’s Atlanta Regional Office said: Far too often, veterans and seniors who depend…
Read More