Tag: SEC
United States SEC Fines BlackRock Portfolio Manager $250,000 for Failure to...
United States SEC Fines BlackRock Portfolio Manager $250,000 for Failure to Disclose Conflict of Interest in Film Distribution Company Aviron, Invested $75 Million via...
United States SEC Charges Founders of Blockchain Technology CoinDeal for $45...
United States SEC Charges Founders of Blockchain Technology CoinDeal for $45 Million Fraud Promising Trillion Dollars Exit to Non-Existent Prominent Investors, Used Funds to...
United States SEC Charges SPAC CFO for Stealing $5 Million from...
United States SEC Charges SPAC CFO for Stealing $5 Million from 3 SPACs, Used Stolen Funds to Trade Crypto Assets, Securities & Pay for...
United States SEC Awards Whistleblower $37 Million, Whistleblowers are Awarded 10%...
United States SEC Awards Whistleblower $37 Million, Whistleblowers are Awarded 10% to 30% if Penalties Exceed $1 Million
22nd December 2022 | Hong Kong
The United...
United States SEC Fines $142 Billion Honeywell $202.7 Million for Bribery...
United States SEC Fines $142 Billion Honeywell $202.7 Million for Bribery in Brazil & Algeria, $4 Million in Bribes to High Ranking Brazil Government...
United States SEC Fines Denmark Largest Bank Danske Bank $413 Million...
United States SEC Fines Denmark Largest Bank Danske Bank $413 Million for Misleading Investors on Money-Laundering Policies, Total Fine of $2.06 Billion
14th December 2022...
United States SEC Charged Venture Capital Firm Vika Ventures & Founders...
United States SEC Charged Venture Capital Firm Vika Ventures & Founders for Fraud, Sold $6 Million of Highly Sought-After IPO Securities to 46 Investors...
United States SEC Fines $136 Billion World Largest Telco AT&T $6.25...
United States SEC Fines $136 Billion World Largest Telco AT&T $6.25 Million for Disclosing Material Information of Lower Revenue Forecast to Analysts, Investor Relations...
United States SEC Awards Whistleblower $20 Million, Whistleblowers are Awarded 10%...
United States SEC Awards Whistleblower $20 Million, Whistleblowers are Awarded 10% to 30% if Penalties Exceed $1 Million
30th November 2022 | Hong Kong
The United...
United States SEC Enforcement Result 2022: Record $6.4 Billion Penalties &...
United States SEC Enforcement Result 2022: Record $6.4 Billion Penalties & 760 Enforcement Actions, JP Morgan, Morgan Stanley, UBS, Credit Suisse, Barclays, Allianz, EY,...
