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DOJ targets SPAC-fueled fraud at Near Intelligence
The case highlights how the rapid timelines and projection-heavy disclosures of SPAC structures can be exploited to mislead investors.
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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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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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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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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.