The Securities and Exchange Commission today announced charges against 10 microcap companies for offering and selling securities in unregistered offerings that failed to comply with Regulation A, which provides a limited exemption from registration under… Full report at: Read More

SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts Read the full report at Read More

The Securities and Exchange Commission today announced charges against El Segundo, California-based Red Rock Secured LLC, its CEO, Sean Kelly, and two of its former Senior Account Executives, Anthony Spencer and Jeffrey Ward, in connection with a… Full report at: Read More

SEC Obtains Final Judgment Against Former Broker for Role in Alleged Offering Fraud Read the full report at Read More

SEC Obtains Partial Summary Judgment Against Participants in IIIegal Microcap Securities Offerings Read the full report at Read More

SEC Obtains Final Judgment Against Head Trader Charged in Fake Trading Scheme Read the full report at Read More

SEC Charges Operators of Dozens of Websites with Offering Fraud Involving Crypto Assets Read the full report at Read More

SEC Charges Connecticut Man with Defrauding Investors of $4.8 Million and Obtains Emergency Relief Read the full report at Read More

The Securities and Exchange Commission today announced that Amsterdam-based Koninklijke Philips N.V. will pay more than $62 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) with respect to conduct related to its sales… Full report at: Read More

The Securities and Exchange Commission today charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their employees to maintain and preserve electronic communications. To settle the… Full report at: Read More