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SEC bans ex-Merrill Lynch broker over fake fund scheme
The penalty also highlights the dangers of brokers using unapproved channels to communicate with prospective clients.
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Prominent Georgia Republican charged with $140m investment fraud by SEC
The case highlights the dangers of investment fraud involving purported “bridge loans.”
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Final judgments secured in microcap manipulation case
The SEC finalized judgments against two individuals in a $27M microcap fraud case involving hidden control and undisclosed stock promotion.
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SEC charges former US Marine with Ponzi-like securities fraud
The alleged scheme involved promises of steep returns on short-term loans secured by real estate.
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The SEC takes aim at Unicoin’s “asset-backed” illusion
The company and its executives are charged with defrauding investors through false claims about the company’s crypto tokens.
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SEC sues operator of alleged $198m crypto Ponzi scheme
The case is the first crypto enforcement action initiated under Paul Atkins’s tenure.
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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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SEC dings Becton Dickinson $175m for misrepresenting product risks
The company failed to properly inform investors about regulatory challenges it was experiencing with the FDA.