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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.
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DOJ, SEC charge ex-WAMCO CIO Ken Leech with fraud
The charges allege that Leech effectively siphoned money from unfavored portfolios into favored ones.
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FINRA disciplinary action update 2024/45
Disciplinary decisions issued November 16 – 22, 2024.
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Indian billionaire Gautam Adani and associates indicted for massive bribery scheme
US investigators allege that Adani and co-conspirators bribed Indian officials and lied to investors.