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Showing 51 - 60 of 100+ results for "Exchange Commission"

Millions up in smoke in cannabis scam

ELIZABETH MCARTHUR  |  WEDNESDAY, 22 JAN 2020
... the owner - a US film producer - spent the money on a yacht and several luxury cars. The US Securities and Exchange Commission has filed charges against Guy Griffithe and Robert Russell for an alleged scheme that defrauded investors who thought they ...

Fraudster dyed hair, grew beard to evade regulator

ELIZABETH MCARTHUR  |  MONDAY, 20 JAN 2020
... and grew a beard in an attempt to go unrecognised as he launched a new bitcoin scheme. The US Securities and Exchange Commission charged Boaz Manor last week with raising over US $30 million from hundreds of investors in a fraudulent bitcoin offering. ...

Goldman Sachs $1b corruption bill

ELIZA BAVIN  |  THURSDAY, 16 JAN 2020
... engaging in the corruption scheme through which he obtained over $62 million in bribes. The Securities and Exchange Commission (SEC) alleged that bribes to Malaysian officials enabled Goldman Sachs to obtain lucrative business, including underwriting ...

BlackRock wakes up to climate change

ALLY SELBY  |  WEDNESDAY, 15 JAN 2020
... assets under management must disclose their US equity holdings in a quarterly 13F report to the Securities and Exchange Commission. Data collated by Whalewisdom on BlackRock's actively managed 13F securities revealed the fund manager has a stake ...

The Income Store closed for business

ELIZABETH MCARTHUR  |  WEDNESDAY, 15 JAN 2020
The US Securities and Exchange Commission froze the assets of Ken Courtright's company Todays Growth Consultant which also operated as The Income Store. The commission has filed an emergency enforcement action, obtained a temporary restraining order ...

Goldman Sachs realigns reporting structure

ALLY SELBY  |  WEDNESDAY, 8 JAN 2020
... previously been reported in a different division. According to the bank's 8-K filing with the US Securities and Exchange Commission, the newly minted consumer division netted only US$124 million in pre-tax earnings in the third quarter. That's compared ...

Six charged in micro pump and dump scheme

ELIZABETH MCARTHUR  |  MONDAY, 6 JAN 2020
The US Securities and Exchange Commission announced that six people have been charged in an international microcap fraud scheme. The scheme allegedly generated $35 million of illegal sales of stock in at least 45 microcap companies. Those charged include ...

Radio host adviser revealed as alleged fraudster

ELIZABETH MCARTHUR  |  FRIDAY, 20 DEC 2019
The US Securities and Exchange Commission has charged a radio host and investment adviser with defrauding hundreds of retail clients out of millions. Keith Springer hosted a radio show called Smart Money with Keith Springer, which is how many of his ...

YouTube fundie name erased from flagship

ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... period needed for a sale which avoids a material price discount," the FCA said. "In the US, the Securities and Exchange Commission has recently adopted measures of liquidity based on this concept." The FCA is considering how the findings of this report ...

Former Goldman Sachs exec charged over $62m bribery

ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... charged with bribery in relation to the high profile 1MDB sovereign wealth scandal. The US Securities and Exchange Commission has brought charges against Leissner for allegedly engaging in a corruption scheme, through which he obtained millions by paying ...