Donald Fowler Found Guilty Of Fraud After Jury Trial
The SEC has announced that a jury has returned a verdict against a broker who was charged with fraud for …
SEC
Oyster Bay, New York Agrees To Settle Charges Brought By SEC
This week, it was announced that the Town of Oyster Bay, New York had agreed to settle charges brought forth …
Investment Adviser Charged With Fraud For Allegedly Overcharging Advisory Fees
This week, it was announced that the Securities and Exchange Commission had charged an investment adviser with defrauding clients. Stephen …
SEC Announces Fraud Charges And Asset Freeze Against Operators Of Florida-Based Investment Fund Scheme
The Securities and Exchange Commission has announced fraud charges and an asset freeze against a Florida-based investment fund scheme. One …
Gladius Network LLC Charged With Conducting An Unregistered Initial Coin Offering
This week, the Securities and Exchange Commission announced that it had charged Gladius Network LLC with carrying out an unregistered …
Founder Of Online Gaming Company Charged With Defrauding Investors
This week, the Securities and Exchange Commission announced it had charged Robert Alexander with fraudulently raising roughly $9 million from …
$1 Billion Judgment Ordered Against Operators Of Woodbridge Ponzi Scheme
This week, the Securities and Exchange Commission announced that it had ordered Woodbridge Group of Companies LLC and its former …
SEC Files Charges Against Texas Real Estate Developer For Conducting Multi-Million Dollar Offering Fraud
On January 25, 2019, the Securities and Exchange Commission announced that it had filed charges against a Texas resident and …
Former Panasonic Executives Charged With Violating Books And Records Provisions
This week, it was announced that the Securities and Exchange Commission had charged two former executives of the United States …
SEC Charges Bebida Beverage Company And Former CEO With Fraud
On September 5, 2018, the Securities and Exchange Commission charged the Bebida Beverage Company and its former CEO and president, …
Final Judgment Entered Against Connecticut Woman In SEC Insider Trading Case
This week, it was announced that the federal district court in Connecticut had entered a settlement against Katherine Hanratty of …
SEC Announces SeaWorld Entertainment Fraud Settlement Linked To Blackfish Documentary
This week, the Securities and Exchange Commission announced that SeaWorld Entertainment and its former CEO have agreed to pay more …
Recidivist Charged In Stock Manipulation Scheme
This week, the Securities and Exchange Commission announced that it had charged a recidivist in a stock manipulation scheme. Howard …
Deutsche Bank To Pay Nearly $75 Million For Mishandling American Depositary Receipts
On July 20, 2018, the Securities And Exchange Commission announced that two United States based subsidiaries of Deutsche Bank AG …
Owings Group, Convicted Felon And Others Charged In $5 Million Offering Fraud
Last week, the Securities and Exchange Commission announced that it had charged the Maryland-based Owings Group LLC, three of its …
Texas Businessman Charged With Multi-Million Dollar Ponzi Scheme By SEC
This week, the Securities and Exchange Commission announced that it had filed charges against Texas resident James VanBlaricum and six …
SEC Charges Bellefonte, Pennsylvania Insurance Agent With Engaging In Ponzi Scheme
Last week, it was announced that the Securities and Exchange Commission had charged a Bellefonte, Pennsylvania insurance agent with being …
Hedge Fund Founder, Portfolio Manager And Trader Charged With Mismarking Securities
On Wednesday, May 9, 2018, it was announced that Anilesh Ahuja or “Neil” who is the founder, CEO and chief …
SEC Acquires Judgment Against New Jersey Adviser For Defrauding Clients
This week, it was announced that a federal district court had entered a judgment against Scott Newsholme. Newsholme served as …
SEC Acquires Emergency Freeze Of Millions In Stock Sales Of Purported Cryptocurrency Company Longfin
The Securities and Exchange Commission has announced that it obtained a court order freezing more than $27 million in trading …