Tag: United States SEC
United States SEC Fines Collectible Cars & Watches Marketplace RSE Markets...
United States SEC Fines Collectible Cars & Watches Marketplace RSE Markets $350,000 for Operating Unregistered Securities Trading Platform, Allow Buyers & Sellers to Trade...
United States Charged Crypto Asset Platform Celsius Network & Co-Founder Alexander...
United States Charged Crypto Asset Platform Celsius Network & Co-Founder Alexander Mashinsky for Fraud & Market Manipulation with $20 Billion Funds Deposited with Celsius,...
United States SEC & FINRA Fine Merrill Lynch & Parent Bank...
United States SEC & FINRA Fine Merrill Lynch & Parent Bank of America Total of $12 Million for Failing to File Hundreds of Suspicious...
United States SEC Fines JP Morgan Fines $4 Million for Permanently...
United States SEC Fines JP Morgan Fines $4 Million for Permanently Deleting 47 Million Business Emails of 7,500 Employees Required to Stored for 3...
United States SEC Fines $75 Billion Private Equity Firm Insight Venture...
United States SEC Fines $75 Billion Private Equity Firm Insight Venture Management $1.5 Million & Additional $864,958 Paid Back to the Funds for Charging...
United States SEC Fines $1.8 Trillion PIMCO $9 Million for Wrongly...
United States SEC Fines $1.8 Trillion PIMCO $9 Million for Wrongly Charging $27 Million Advisory Fees to Investors & Failure to Disclose Use of...
United States SEC Implement New Rules on Securities-Based Swaps to Prevent...
United States SEC Implement New Rules on Securities-Based Swaps to Prevent Fraud & Manipulation, Including Influencing Chief Compliance Officer
9th June 2023 | Hong Kong
The...
United States SEC Charged Crypto Trading Platform Coinbase for Illegal Offering...
United States SEC Charged Crypto Trading Platform Coinbase for Illegal Offering of Securities & Operating as Unregistered Securities Exchange
9th June 2023 | Hong Kong
The...
United States SEC Issues Largest-ever Payout of $279 Million to Whistleblower...
United States SEC Issues Largest-ever Payout of $279 Million to Whistleblower to Help Recover $4 Billion to Investors, Previous Record Payout of $114 Million...
United States SEC Charged Financial Advisor for Misappropriating More than $1...
United States SEC Charged Financial Advisor for Misappropriating More than $1 Million over 2 Years from NBA Basketball Players, Used Funds to Pay for...
