SEC Charges Ohio Investment Adviser with Misappropriating Over $1.3 Million from a Retail Investor Read the full report at Read More

SEC Charges Two Individuals in Connection with Fraudulent Scheme to IIIegally Sell Stock to the Public Read the full report at Read More

SEC Charges Pennsylvania Man in $30 Million Offering Fraud Read the full report at Read More

The Securities and Exchange Commission today charged investment adviser Sabby Management LLC and its managing partner, Hal D. Mintz, with fraud in connection with a long running scheme involving misrepresentations and violations of rules for short… Full report at: Read More

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled a public service campaign that encourages older investors to never stop learning when it comes to protecting their hard-earned money and investing… Full report at: Read More

SEC Obtains Final Judgment Against Investment Adviser Tarek D. Bahgat Read the full report at Read More

The Securities and Exchange Commission today adopted rule changes to remove and replace references to credit ratings from existing exceptions provided in Rule 101 and Rule 102 of Regulation M, a set of rules that prohibits activities that could… Full report at: Read More

The Securities and Exchange Commission today adopted rules to prevent fraud, manipulation, and deception in connection with security-based swap transactions and to prevent undue influence over the chief compliance officer (CCO) of security-based swap… Full report at: Read More

SEC Charges Financial Advisor with Fraud for Stealing from Elderly Customers to Pay Personal Expenses Read the full report at Read More

The Securities and Exchange Commission today charged Coinbase, Inc. with operating its crypto asset trading platform as an unregistered national securities exchange, broker, and clearing agency. The SEC also charged Coinbase for failing to register the… Full report at: Read More