Tag: United States SEC
United States Department of Justice & SEC Fines Bit Mining (Previously...
United States Department of Justice & SEC Fines Bit Mining (Previously 500.com) $10 Million for Violating Foreign Corrupt Practices Act in $2.5 Million Bribery...
United States SEC Fines Invesco Advisors $17.5 Million for Misleading Statements...
United States SEC Fines Invesco Advisors $17.5 Million for Misleading Statements on AUM Integrating ESG Factors, Told Clients & Stated in Marketing Materials from...
United States SEC Fines JP Morgan $151 Million for Multiple Failures...
United States SEC Fines JP Morgan $151 Million for Multiple Failures Including Misleading Disclosures to Investors, Breach of Fiduciary Duty, Prohibiting Joint Transactions &...
United States SEC Fines 4 Companies $6.9 Million for Misleading Material...
United States SEC Fines 4 Companies $6.9 Million for Misleading Material Disclosures on Cybersecurity Risks & Intrusions, 4 Companies Fined are Unisys, Avaya Holdings,...
United States SEC Fines WisdomTree Asset Management $4 Million for Failure...
United States SEC Fines WisdomTree Asset Management $4 Million for Failure to Apply its Own ESG Criteria for 3 WisdomTree ESG Exchange Traded Funds...
United States SEC Fines Motion Control Systems Manufacturer Moog Inc $1.7...
United States SEC Fines Motion Control Systems Manufacturer Moog Inc $1.7 Million for Bribery Paid by India Subsidiary to India Government Officials from 2020...
United States SEC Charged Cumberland DRW for Operating as Unregistered Dealer...
United States SEC Charged Cumberland DRW for Operating as Unregistered Dealer in Buying & Selling of $2 Billion Securities in Crypto Assets
12th October 2024...
United States SEC Charged & Fined Rimar Capital, Owner Itai Liptz...
United States SEC Charged & Fined Rimar Capital, Owner Itai Liptz & Board Member Clifford Boro $310,000 for False & Misleading Statements of Using...
United States SEC Charged Minerco Inc & 2 Individuals for Pump-&-Dump...
United States SEC Charged Minerco Inc & 2 Individuals for Pump-&-Dump Scheme Defrauding $8 Million from Investors & Generated at Least $3.4 Million in...
Crypto Trading Platform Crypto.com Files Lawsuit Against United States SEC for...
Crypto Trading Platform Crypto.com Files Lawsuit Against United States SEC for Overstepping Jurisdiction in Regulating Cryptocurrency Industry after Receiving Wells Notice Which are Issued...
