Search Results | Showing 1 - 10 of 34 results for "Division of Enforcement" |
| | ... our law enforcement partners will hold perpetrators accountable for these and other fraud schemes." SEC division of enforcement director Gurbir S. Grewal said: "As alleged in our complaint, Lee and Chunga attracted investors with the allure of profits ... |
| | | ... include provisions that prevent individuals from contacting the SEC with evidence of wrongdoing," SEC Division of Enforcement director Gurbir S. Grewal said. "But that's exactly what we allege J.P. Morgan did here. For several years, it forced certain ... |
| | | ... business model rife with conflicts of interest that placed investors' funds at risk," the SEC's division of enforcement director Gurbir Grewal said. "Kraken's choice of unlawful profits over investor protection is one we see far too often ... |
| | | ... material to investors, investment advisers must ensure that their actions conform to their words," said SEC division of enforcement deputy director Sanjay Wadhwa, who is head of the SEC's Climate and ESG Task Force. "Here, DWS advertised that ESG was ... |
| | | ... because you'd prefer different ones: the consequences for the investing public are far too great," SEC Division of Enforcement director Gurbir S. Grewal said. "As alleged in our complaint, Coinbase was fully aware of the applicability of the federal ... |
| | | ... them and put their customers and investors at risk - all in an effort to maximise their own profits," SEC Division of Enforcement director Gurbir S. Grewal said. The SEC alleges that, while Zhao and Binance publicly claimed that US customers were restricted ... |
| | | ... claims, and then used that fake information to induce JPMC to enter into a $175 million transaction," SEC Division of Enforcement director Gurbir S. Grewal said. "Even non-public, early-stage companies must be truthful in their representations, and when ... |
| | | ... All of which "are invested solely to support the Church's mission", the church said. The SEC's division of enforcement director Gurbir S. Grewal commented: "We allege that the LDS Church's investment manager, with the Church's knowledge ... |
| | | ... are increasingly branding and marketing their funds and strategies as 'ESG,'" deputy director of the SEC Division of Enforcement and head of the Climate and ESG Task Force Sanjay Wadhwa said. "When they do, they must establish reasonable policies and ... |
| | | ... products and strategies have a clear understanding of the risks those products present," chief of the Division of Enforcement's Complex Financial Instruments Unit, Osman Nawaz said. "As fiduciaries, advisers also must make suitable recommendations to ... |
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