SEC Halts Alleged $125 Million Offering Fraud from SEC.gov Updates: Litigation Releases https://ift.tt/306QPpi via IFTTT
Category Archives: SEC News
SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
The Securities and Exchange Commission today sued ICOBox and its founder Nikolay Evdokimov for conducting an illegal $14 million securities offering of ICOBox’s digital tokens and for acting as unregistered brokers for other digital asset offerings.… from Press Releases https://ift.tt/308DJHt via IFTTT
SEC Halts Alleged $125 Million Offering Fraud
The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze against three individuals and three entities in connection with an alleged fraudulent,… from Press Releases https://ift.tt/2OeZgrL via IFTTT
SEC.gov: Jay Daniel Seinfeld, Sara Beth Postma, Traditions Capital Management LLC, and Hospice Patient Aid Program, Inc.
SEC Charges Defendants Who Used Fake Charity to Defraud the Terminally III from SEC.gov Updates: Litigation Releases https://ift.tt/2QcGsvJ via IFTTT
SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
The Securities and Exchange Commission today announced that it has proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors, and eliminate disclosures that overlap with Commission rules, U.S.… from Press Releases https://ift.tt/2ApFRvV via IFTTT
SEC.gov: Tom Simeo
SEC Charges Former Company Executive with Fraud for False Disclosures About Management from SEC.gov Updates: Litigation Releases https://ift.tt/2LBVua0 via IFTTT
Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess commissions for brokerage customer investments in… from Press Releases https://ift.tt/30l1tnK via IFTTT
SEC.gov: Jan Atlas
SEC Charges South Florida Securities Attorney with Issuing Misleading Opinion Letters that Furthered Fraud on Thousands of Retail Investors from SEC.gov Updates: Litigation Releases https://ift.tt/302jpax via IFTTT
SEC.gov: John Henderson and Global Resources Leadership LLC
SEC Charges IIIinois Company and Its President with Affinity Fraud Targeting Christian Investors from SEC.gov Updates: Litigation Releases https://ift.tt/31vUtFQ via IFTTT
SEC.gov: Jay Daniel Seinfeld, Sara Beth Postma, Traditions Capital Management LLC, and Hospice Patient Aid Program, Inc.
SEC Charges Defendants Who Used Fake Charity to Defraud the Terminally III from SEC.gov Updates: Litigation Releases https://ift.tt/2QdNjVD via IFTTT
SEC Investigations 