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Bribes, crypto fraud and unregistered brokers attract SEC charges

Photo: Getty Images

Martina Lindberg

3 min read
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In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.

Investor failed to disclose his increasing stake  – March 9

Switzerland-based investor Ralph Bartel has been charged for failing to disclose his increasing stake in shares of NASDAQ-listed Wilhelmina International, Inc. He acquired shares in both his name and in an entity that he indirectly beneficially owns, Azzurro Capital LLC.

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