Tag: United States SEC
United States SEC Fines One Oak Capital Management & ex-Advisor Michael...
United States SEC Fines One Oak Capital Management & ex-Advisor Michael DeRosa $225,000 for Advisory Misconduct, Converted 180 Brokerage Accounts to Advisory Accounts with...
United States SEC Fines Digital Currency Group & Subsidiary Genesis Global...
United States SEC Fines Digital Currency Group & Subsidiary Genesis Global Capital ex-CEO Soichoro “Michael” Moro $38.5 Million for Misleading Investors About Genesis Financials...
United States SEC Charged Advisor Scott J. Mason & His 2...
United States SEC Charged Advisor Scott J. Mason & His 2 Companies Rubicon Wealth Management & Orchard Park Real Estate Holdings for Misappropriating $20...
United States SEC Charged Arete Wealth Entities & Staffs Including Chief...
United States SEC Charged Arete Wealth Entities & Staffs Including Chief Compliance Officer & General Counsel for Fraud, Cover-Up, Record-Keeping & Violating Securities Law,...
United States SEC Fines LPL Financial $18 Million for Failures in...
United States SEC Fines LPL Financial $18 Million for Failures in Money Laundering from 2018 to 2023 Including Failing to Close Accounts Which Had...
United States SEC Fines PMAC Consulting & Paul John McCabe Jr...
United States SEC Fines PMAC Consulting & Paul John McCabe Jr $3 Million for Illegally Brokering Pre-IPO Shares & Received $16 Million in Compensation...
United States SEC Fines e-Commerce Food Company GrubMarket $8 Million for...
United States SEC Fines e-Commerce Food Company GrubMarket $8 Million for Providing Unreliable Financial Information Overstating Revenue by $550 Million Over 5 Years &...
United States SEC Fines Hedge Fund Two Sigma $90 Million for...
United States SEC Fines Hedge Fund Two Sigma $90 Million for Failure in Fiduciary Duties to Address Identified Vulnerabilities in Investment Models for 4...
United States SEC Fines Wells Fargo & Merrill Lynch $60 Million...
United States SEC Fines Wells Fargo & Merrill Lynch $60 Million for Failing to Consider Best Interest of Clients in Cash Sweep Option &...
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106...
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106 Million Settlement for Misleading Statements on Capital Gains Distributions & Tax to Retail...
