SEC Charges Siblings in $124 Million Crypto Fraud Operation that included Misleading Roadshows, YouTube Videos
Washington D.C., March 8, 2022 — The Securities and Exchange Commission today charged siblings John and JonAtina (Tina) Barksdale with defrauding thousands of retail...
City National Rochdale to Pay More Than $30 Million for Undisclosed Conflicts of Interest
Harmed Investors to Receive Amounts Recovered
Washington D.C., — The Securities and Exchange Commission today announced that registered investment adviser City National Rochdale, LLC (CNR)...
The exposé Hadari Oshri and her attorney tried to stop wins LA Press Club award
AN IMPORTANT NOTE: On June 22, 2021, Hadari Oshri –Marc Lubaszka’s business partner– filed a civil harassment restraining order (CHRO) against Investor News reporter...
HSBC and Scotia Capital Charged with Widespread Recordkeeping Failures
Firms admit to wrongdoing and agree to pay penalties in SEC’s ongoing recordkeeping initiative
Washington D.C., — The Securities and Exchange Commission this week charged...
SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
The Securities and Exchange Commission proposed this week new Regulation SE under the Securities Exchange Act of 1934 (the Exchange Act) to create a...
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...
Consulting Companies to Pay $11.3M for Failing to Comply with Cybersecurity Requirements in Federally Funded Contract
Guidehouse Inc., headquartered in McLean, Virginia, has paid $7,600,000 and Nan McKay and Associates (Nan McKay), headquartered in El Cajon, California, has paid $3,700,000...
Here’s what JP Morgan thinks are among the top trades for next year
Forget about a 2020 recession.
JPMorgan Chase & Co. JPM, -0.88% picked equities, U.S. agriculture and hedges against next year’s U.S. presidential election as three...
16 defendants charged in international $194M “pump and dump” plots
SEC Uncovers $194 Million Penny Stock Schemes that Spanned Three Continents
This week the Securities and Exchange Commission announced charges against 16 defendants, located in...
Elizabeth Holmes Sentenced To More Than 11 Years For Defrauding Theranos Investors Of Hundreds Of Millions
SAN JOSE – Elizabeth A. Holmes was sentenced today to 135 months (11 years, 3 months) in federal prison for defrauding investors in Theranos,...