The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will undertake remedial efforts and pay $20 million in penalties to settle charges that it failed to implement… from Press Releases https://ift.tt/2zSYkko via IFTTT
Tag Archives: Press Releases
SEC Names Monique Winkler as Associate Regional Director in San Francisco Office
The Securities and Exchange Commission today announced that Monique C. Winkler has been named Associate Regional Director for enforcement in the San Francisco Regional Office. Ms. Winkler succeeds Erin E. Schneider, who became Regional Director of… from Press Releases https://ift.tt/2Zuoc5f via IFTTT
SEC Monitoring Impact of Hurricane Dorian on Capital Markets
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Dorian on investors and capital markets. The SEC divisions and offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms,… from Press Releases https://ift.tt/32fBzmC via IFTTT
SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal
The Securities and Exchange Commission today announced it has filed charges and obtained a consented-to asset freeze against San Diego-based ANI Development LLC, its principal, Gina Champion-Cain, and a relief defendant, for operating a multi-year $300… from Press Releases https://ift.tt/2ZoZGlT via IFTTT
SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players
The Securities and Exchange Commission today charged a Tallahassee-based investment adviser firm and its two former principals with defrauding investors, most of whom were retired NFL players who had joined a class-action lawsuit against the league… from Press Releases https://ift.tt/2zsE48L 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
SEC Investigations 