IAA 1940 Rule 206(1)
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Insider gains, family betrayal, and high-tech market gaming in key SEC cases
The SEC has recently closed three very different but equally brazen fraud cases, each a window into a distinct form of financial misconduct.
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SEC fines Momentum Advisors, two officers $500,000+ over fiduciary breaches
Momentum Advisors LLC, along with its former COO and CCO, were charged with violations related to the misuse of portfolio company assets.
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Final judgements for Ponzi scheme defendants Robert Allen Stanford and others
Final judgments in this action were against individuals and entities charged with perpetrating a massive $8 billion Ponzi scheme.
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Trading firm dinged for using buzzwords about purported AI capabilities
The SEC also accused the pair of lying to investors about Rimar’s assets under management.
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New Jersey asset management firm CCO pleads guilty to $401m fraud
With SEC and DOJ charges pending, we examine the case and assess the implications of the CCO’s characterization as a gatekeeper.