SEC: Geluk Capital Management Ltd. and Douglas Gerald Fathers Fraud

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a …

SEC: Robinhood Financial, LLC Fraud

Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/K2RVOlz via IFTTT

SEC: GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc Fraud

Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/rzJ5WeE via IFTTT

SEC: StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and Eric D. Lachow Charged With Fraud

SEC Obtains Preliminary Injunction and Appointment of a Receiver in Pre-Ipo Stock Fraud by Unregistered Broker-Dealer. Don't forget to follow the blog to get the latest in SEC news. And remember, be safe out there! from https://ift.tt/fte2MqH via IFTTT

SEC: The Brink’s Company Fraud

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/wYrF1hc via IFTTT

SEC: Steven J. Sheinfeld Charged With Fraud

SEC Obtains Final Judgment Against Former Pharmacy Chain Employee Charged with Insider Trading. Don't forget to follow the blog to get the latest in SEC news. And remember, be safe out there! from https://www.sec.gov/litigation/litreleases/2022/lr25428.htm via IFTTT

SEC: Aaron B. Fletcher Fraud

Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B of the Securities Exchange Act of 1934 and Rule 15Bc4-1 Thereunder and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions. Leave a like and a comment on the blog to spread the word of this case. How bad …

SEC: Egan-Jones Ratings Company and Sean Egan Fraud

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15E(d) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/SgEkBa0

SEC: American Cryptofed Dao LLC Fraud

Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/jBNf7eM via IFTTT

SEC: Lek Securities Corporation, et. al. Charged With Fraud

Second Circuit Affirms Judgment for SEC in Layering, Manipulative Trading Case. Don't forget to follow the blog to get the latest in SEC news. And remember, be safe out there! from https://ift.tt/RYgo4m0 via IFTTT