The SEC concluded that the Initial Coin Offering (ICO) was considered an unregistered security offer. The food review business was required to refund investor proceeds,
SEC Charges Penny-Stock Operators In response to the continuing issue of penny stock traders returning to the patent trading markets, some repeat offenders have recently been targeted for the role, they continue to play in the development of this controversial market
The SEC Whistleblower Program The identity of whistleblowers is kept secret by the SEC, which often pays Whistleblowers quite handsomely, depending on the amount of fraud that has been or will be committed. Since its inception, the SEC has paid out over $162 million to 47 whistleblowers in both the private and public sectors.
Payments for Bullish Articles on Stocks Must Be Disclosed to Investors. Enforcement actions are being taken against 27 entities and individuals responsible for stock promotion schemes based on paid promotional stock analyses that were marketed to investors as unbiased reports from investing websites.
According to the complaint filed by the SEC, Avalon FA Ltd advertised itself to stock traders as a firm where they could engage in a layering scheme, which basically is the idea that a firm places orders for stocks but then cancels the orders before they have gone through..
A company based out of Florida, along with its CEO and several of the top sales agents for the business, have been charged by the Securities and Exchange Commission with conducting a boiler room scheme.
A Chicago-based financial management firm and its lead investment adviser have been put under an emergency asset freeze and restraining order by the Securities and Exchange Commission due to allegations that the company has been defrauding elderly investors out of their money.
A pastor based out of Michigan has been accused by the Securities and Exchange Commission of committing fraud by exploiting members of his church, including laid-off automotive workers, retirees, and many others who he misled by making them think they were investing their money in a safe and profitable real estate company
Enforcement actions are being taken against 27 entities and individuals responsible for stock promotion schemes based on paid promotional stock analyses that were marketed to investors as unbiased reports from investing websites.