SEC.gov: Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger

SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme from SEC.gov Updates: Litigation Releases https://ift.tt/30IEbt9 via IFTTT

SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme

The Securities and Exchange Commission today charged Live Well Financial, Inc. and its CEO, Michael Hild, both of Richmond, Va., with perpetuating a multi-million dollar bond mismarking scheme against Live Well's short-term lenders. The complaint… from Press Releases https://ift.tt/2ZtKPHa via IFTTT

SEC Awards More Than $1.8 Million to Whistleblower

The Securities and Exchange Commission today announced an award of more than $1.8 million to a whistleblower whose information and assistance were critically important to the success of an enforcement action involving misconduct committed overseas.… from Press Releases https://ift.tt/2LghXIh via IFTTT

SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange

The Securities and Exchange Commission today announced settled charges with Bitqyck Inc. and its founders, who allegedly defrauded investors in securities offerings of two digital assets, Bitqy and BitqyM, and operated an unregistered exchange to… from Press Releases https://ift.tt/2Uj39Nk via IFTTT

SEC Investor Advisory Committee to Meet on Sept. 19

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19.The meeting will begin at 9:30 a.m. in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and is open to… from Press Releases https://ift.tt/329NceW via IFTTT

SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud

The Securities and Exchange Commission today charged a Pennsylvania investment adviser with operating an investment advisory fraud involving over $100 million in investments. The SEC also obtained an emergency asset freeze. The SEC's complaint… from Press Releases https://ift.tt/2Hqmo24 via IFTTT

RSM US LLP Charged With Violating Auditor Independence Rules

The Securities and Exchange Commission today charged public accounting firm RSM US LLP with violations of the agency’s auditor independence rules in connection with more than 100 audit reports involving at least 15 audit clients. According to the SEC’s… from Press Releases https://ift.tt/2KYYuwJ via IFTTT