Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Bulk Settlement Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator’s Bond, and Terminating the Bulk Settlement Fair Fund. Leave a like and a comment on the blog to spread the word of this …
Category Archives: Administrative Proceedings
SEC: Foresight Wealth Management, LLC and Adam E. Nugent Fraud
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b)(6) and 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 …
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SEC: Shawn E. Good Fraud
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 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 was it? from SEC.gov Updates: Administrative …
SEC: ShipChain, Inc. Fraud
Order Appointing Fund Administrator and Setting Administrator’s Bond Amount. 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/z6efSjP via IFTTT
SEC: Momentus, Inc., et al. Fraud
Order Appointing Fund Administrator and Setting Administrator’s Bond Amount. 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/pmjXMgA via IFTTT
SEC: S&P Dow Jones Indices 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/RyhingN via IFTTT
SEC: Blockchain Credit Partners d/b/a DeFi Money Market et al. Fraud
Order Appointing Fund Administrator and Setting Administrator’s Bond Amount. 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/blatALF via IFTTT
SEC: Alan A Tucker Fraud
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, 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. …
SEC: UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III Fraud
Order Authorizing the Disposition of Funds Remaining in the Fair Fund and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Canceling the Administrator’s Bond, and Terminating the Fair Fund. Leave a like and a comment on the blog to spread the word of this case. How bad was it? …
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SEC: African Gold Acquisition Corp. Fraud
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing 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/9x2lWYC via IFTTT
SEC Investigations 