SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations
Washington D.C. — The Securities and Exchange Commission has charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with...
SEC Charges Firm and Five Brokers with Violations of Reg BI
Brokerage firm sold $13.3 million worth of high-risk bonds to retirees and other retail investors
Washington D.C. — The Securities and Exchange Commission has charged...
Synchronoss Technologies and senior employees charged with accounting-related misconduct
SEC Charges New Jersey Software Company and Senior Employees with Accounting-Related Misconduct
Synchronoss Technologies to Pay $12.5 Million to Settle Charges, Former CEO to Reimburse...
Aitana Vargas’s exposé on Hadari Oshri nominated for journalism award
Oshri tried to stop the release of Vargas's series exposing her alleged participation in a $370M PPE scheme
In June 2021, Investor News reporter Aitana...
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)...
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 Proposed Rules Regarding Private Fund Advisers and Regulation ATS
Washington D.C. — The Securities and Exchange Commission this week announced that it has extended the public comment period on the proposed rulemaking to...
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 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...