SEC alleges that Nathan Fuller told investors he would leverage proprietary AI bots to facilitate high-frequency arbitrage trading of crypto assets.
SEC Rule 10b
The SEC said Thompson used material nonpublic information to trade in stock and options of at least two publicly-traded banks within his supervisory portfolio.
By manipulating data, QCQ Impact Investors was able to accumulate millions more in carbon credits than otherwise allowed.
Company settled SEC charges for related accounting controls violations, avoiding penalties because of its self-reporting, cooperation and remediation efforts.
The DOJ and SEC claim Left defrauded his followers by publishing false and misleading statements about his stock trading recommendations.