SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations
Washington D.C. — The Securities and Exchange Commission today announced charges against Wells Fargo Advisors for failing to file at least 34 Suspicious Activity...
Allianz Global Investors Agrees to Pay More Than $1 Billion to Resolve SEC Charges
SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud
Washington D.C. — The Securities and Exchange Commission (SEC)...
Doctor Charged With Falsifying COVID-19 Vaccination Cards
Los Angeles County District Attorney George Gascón announced that his office today charged a Tujunga doctor for issuing fake COVID vaccination cards and injecting...
SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
Defendants, including persons barred from the brokerage industry, allegedly sold shares they didn’t own, and pocketed more than $75 million
Washington D.C. — The Securities...
SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for...
Washington D.C. — The Securities and Exchange Commission this week announced that it has extended the public comment period on the proposed rulemaking to...
Woman Convicted of Laundering Over $750,000 from Health Care Fraud Scheme
A federal jury convicted a Florida woman Friday for laundering approximately $786,000 in money stolen from Medicare, Medicaid, and private health insurers as part...
Two Men Sentenced for COVID-19 Relief Fraud Scheme
Two Florida men were sentenced Friday for leading a nationwide scheme to defraud the Paycheck Protection Program (PPP) for millions of dollars in loans...
Founders of cryptomining scheme accused of using investments to fund lavish lifestyle
SEC Halts Fraudulent Cryptomining and Trading Scheme
Washington D.C. — The Securities and Exchange Commission this week announced fraud charges against MCC International Corp. (MCC),...
SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme
Multiple Archegos Executives Charged with Misleading Counterparties
Washington D.C. — The Securities and Exchange Commission has charged Sung Kook (Bill) Hwang, the owner of family...
SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit
Washington D.C., May 3, 2022 — The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for...