Search Results | Showing 61 - 70 of 215 results for "Securities and Exchange Commission" |
| | ... he claimed a company he was trading stocks in had developed a special COVID-19 test. The US Securities and Exchange Commission (SEC) has filed a complaint against Jason Neilson, saying he pumped up the price of Arrayit Corporation before dumping stock. ... |
| | | ... findings, but agreed to a cease-and-desist order, a censure and the US$1 million civil penalty. The Securities and Exchange Commission (SEC) alleges that in 2016 Ares invested several hundred million dollars in debt and equity of a publically listed ... |
| | | ... Ghanaian government to gain their approval to build and operate an electrical power plant. The Securities and Exchange Commission charged former Goldman Sachs executive Asante Berko with orchestrating a bribery scheme to help a Turkish client win a government ... |
| | | Two whistleblowers in the US have been rewarded for their efforts with the Securities and Exchange Commission awarding them a combined US $570,000. The first whistleblower received US $478,000 and the second US $94,000. The SEC did not reveal which ... |
| | | ... investors out of $60 million (US$39 million), and put the funds straight into his own pocket. The Securities and Exchange Commission has frozen assets and obtained other emergency relief against investment adviser Kinetic Investment Group and its managing ... |
| | | The US Securities and Exchange Commission is calling for public comment on how funds are named, in an effort to restrict the use of potentially misleading fund names. ESG, responsible and ethical funds are under the spotlight as the SEC seeks to protect ... |
| | | The US Securities and Exchange Commission charged a prominent actor for failing to disclose payments he received for promoting an investment in a bitcoin offering. The SEC found Steven Seagal had not disclosed that he was promised $380,000 (US$250,000) ... |
| | | ... world's fourth largest bank since 2016. The $4.5 billion (US$3 billion) settlement with the Securities and Exchange Commission (SEC) and the US Department of Justice (DOJ) resolves all criminal and civil charges against the besieged bank. In settlement ... |
| | | The Securities and Exchange Commission (SEC) has settled charges against a blockchain startup, after it raised $68 million through an unregistered "initial coin offering". Enigma MPC, based in San Francisco and Israel, raised approximately $68 million ... |
| | | ... An alleged fraudulent investment scheme has targeted the Amish community in the US, with the Securities and Exchange Commission now bringing charges. The SEC's complaint alleges Philip Riehl provided accounting services to Amish and Mennonite communities ... |
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