Search Results | Showing 51 - 60 of 215 results for "Securities and Exchange Commission" |
| | ... investigations by the US Justice Department, the Commodity Futures Trading Commission and the Securities and Exchange Commission into whether traders rigged markets. This would be a record penalty for spoofing, an illegal form of market manipulation ... |
| | | A ring of microcap share manipulators have had their assets frozen by the Securities and Exchange Commission after procuring US$9 million in illegal profits by defrauding retail investors. The SEC alleged in a complaint that between 2013 and 2017 Ongkaruck ... |
| | | A senior index manager and his friend were charged for insider trading by the Securities and Exchange Commission for reaping over US$900,000 in illegal profits off trades made with prior knowledge of stocks that would be added to or deleted from an ... |
| | | ... of five individuals charged over his role in a fraudulent cryptocurrency offering, after the Securities and Exchange Commission found he had promoted and sold tokens on his social media accounts. Clifford Harris Jr, better known for his stage name T.I. ... |
| | | ... abused his position in the bankruptcy proceedings of luxury retailer Neiman Marcus Group. The Securities and Exchange Commission has charged Daniel Kamensky with violating anti-fraud provisions, with the regulator seeking both a permanent injunction ... |
| | | ... charged over a Ponzi scheme that targeted African immigrants, particularly those of faith. The US Securities and Exchange Commission (SEC) charged two companies based in Maryland for the scheme that allegedly defrauded 1200 investors out of more than ... |
| | | ... the Federal Reserve, Comptroller of the Currency, Federal Deposit Insurance Corporation, the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission, Federal Insurance Office, Federal Housing Finance Agency, Financial Stability ... |
| | | UBS will cough up more than $14 million (US$10 million) after the US Securities and Exchange Commission found it had violated rules giving retail investors priority in municipal bond offerings. According to the SEC, UBS improperly allocated bonds intended ... |
| | | The US Securities and Exchange Commission have charged a former registered investment adviser with fraud for his alleged role in a US$60 million Ponzi-like scheme. The SEC alleges that David Hu, the co-founder and chief investment officer of International ... |
| | | ... to capitalise on the COVID-19 pandemic through the illegal sale of microcap stocks. The US Securities and Exchange Commission allege the scheme, boosted by promotional campaigns, generated more than $37 million (US$25 million) from penny stock sales. ... |
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