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SA 1933 Rule 5(a)
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SEC approves $200m Barclays distribution plan years after shelf control collapse
Three years after Barclays admitted to selling $17.7 billion in unregistered securities, the SEC has approved a long-awaited plan to return funds to harmed investors.
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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 targets Langemeier and LOL for conflicts of interest
Self-styled ‘Millionaire Maker’ fined for breaching fiduciary duties.
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SEC closes case on multi-million dollar healthcare investment fraud
The SEC secured over $17m in penalties against defendants who ran a fraudulent medical device investment scheme.
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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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SEC brings fraud charges against crypto startup that targeted prayer groups
Investment “cult” is accused of stealing $650m in Ponzi-like scheme.
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Stoner Cats $8m NFT offer prompts SEC to roll up a fine
Creators of NFT-driven cartoon series Stoner Cats fined for offering unregistered securities.