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The Ripple effect: SEC files Notice of Appeal in case against Ripple
This lawsuit could set a significant precedent for how digital assets are regulated in the United States.
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Agencies bring civil, criminal charges for firm’s massive carbon credit frauds
By manipulating data, QCQ Impact Investors was able to accumulate millions more in carbon credits than otherwise allowed.
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Proponent of a proactive culture of compliance, Director Grewal embarks on post-SEC career
He joined the SEC in 2021 and has overseen cases ranging from Regulation Best Interest to greenwashing charges.
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GRIP Extra 2/24
This week strikes end on the US East Coast; EU tariffs on Chinese EVs; SEC charges in pre-IPO scheme; another sentence connected to Brazil’s Odebrecht and a Singapore graft investigation resulting in charges against tycoon.
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Activist investor Macellum Advisors hit with $75k penalty for failing to disclose third-party payments
The firm was accused by the SEC of failing to disclose potential conflicts of interest resulting from the fees it received from outside investors.
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SEC charges former CEO of Church & Dwight for hiding friendship with company executive
The independent director was accused of violating proxy regulations by concealing the relationship.
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TD Securities charged with spoofing scheme, failing to supervise head of US Treasuries desk
The allegations revolve around hundreds of episodes of unlawful trading in the secondary (cash) market for US Treasuries.
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A landmark lawsuit is sending ‘ripples’ through the world of cryptocurrency
One of the most significant aspects of the Ripple v. SEC ruling is the clarification on the status of digital assets says Harley Thomas.