Search Results | Showing 1 - 9 of 9 results for "SEC 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 ... |
| | | ... 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 ... |
| | | ... 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 ... |
| | | ... misconduct by trying to persuade the other bidder not to describe Kamensky's conduct as a threat." The SEC division of enforcement's complex financial instruments unit chief Daniel Michael said this type of "deceptive conduct" has no place in securities ... |
| | | ... they will obtain nonpublic material information through their representative occupying dual roles," SEC division of enforcement associate director Anita B. Bandy said. Ares Management LLC is a wholly-owned subsidiary of NYSE-listed Ares Management Corporation ... |
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