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...
La economía, a examen. ¿A las puertas de una nueva recesión?
Los Ángeles (CA) – La pandemia más letal desde la mal llamada gripe española de 1918, no solo ha dejado una estela de muertes...
Empires Consulting Corp. hit with fraud charges over fake trading scheme
As scheme collapsed, defendants stopped investor withdrawals and relocated to Brazil
Washington D.C. — The Securities and Exchange Commission has announced fraud charges against Empires...
UBS to Pay $25 Million to Settle Fraud Charges
Washington D.C. — The Securities and Exchange Commission has announced that UBS Financial Services Inc. has agreed to pay approximately $25 million to settle...
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...
SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers
Washington D.C. — The Securities and Exchange Commission has adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain...
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...
Former employee at Penn Interactive Ventures charged with insider trading
Software Engineer Traded, Tipped Friend of Company’s Acquisition Plans
Washington D.C. — The Securities and Exchange Commission today announced insider trading charges against David Roda,...
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...