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Showing 81 - 90 of 247 results for "Exchange Commission"

Florida fraudster swindles investors out of $60 million

ALLY SELBY  |  WEDNESDAY, 11 MAR 2020
... 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 ...

Regulator clamps down on misleading ESG fund names

ELIZABETH MCARTHUR  |  WEDNESDAY, 4 MAR 2020
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 ...

Hollywood actor charged by SEC

ELIZA BAVIN  |  FRIDAY, 28 FEB 2020
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) ...

Wells Fargo coughs up $4.5 billion

ALLY SELBY  |  MONDAY, 24 FEB 2020
... 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 ...

Blockchain startup raises $68m, ordered to return funds

ALLY SELBY  |  FRIDAY, 21 FEB 2020
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 ...

Amish community scammed

ELIZABETH MCARTHUR  |  MONDAY, 3 FEB 2020
... 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 ...

Ponzi scheme rakes in almost $1.5bn

HARRISON WORLEY  |  TUESDAY, 28 JAN 2020
A California-based couple has been charged by the US Securities and Exchange Commission for allegedly running a Ponzi scheme worth just under $1.5 billion (USD$1billion). The SEC has charged Jeffery and Paulette Carpoff with violating antifraud provisions ...

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 ...

Editor's Choice

Entireti appoints chief investment officer

JAMIE WILLIAMSON
The nation's largest financial advice group will soon welcome its first chief investment officer.

Bain Capital improves Insignia Financial bid

JAMIE WILLIAMSON
Insignia Financial has opened its books to Bain Capital after it matched CC Capital Partners' revised takeover offer.

Australian Ethical 'cautious' on valuations

ELIZA BAVIN
Australian Ethical says tech and AI will be important themes driving markets in 2025 but it is watching out for "curveballs".

Chief executive misbehaviour stifles investment returns

ANDREW MCKEAN
Secret affairs, sexual harassment, and systemic abuses of power by chief executives and senior leaders have the potential to erode investment returns, according to Acadian Asset Management.

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