Tag: SEC

The Securities and Exchange Commission (SEC) has obtained a temporary restraining order and an asset freeze to stop an alleged Ponzi scheme and misappropriation of investor funds by Jonathan P. Maroney through several entities he controlled including Harbor City Capital.

US regulator warned that companies going public through special purpose acquisition companies (SPAC) deals must refrain from publishing misleading statements about their potential growth.

Nigeria’s Securities and Exchange Commission (SEC) has warned capital market operators to stop supporting online investment trading platforms and providing access to unregistered foreign securities in Nigeria.

The Securities and Exchange Commission has awarded two separate whistleblowers a total of almost $3m.

A US regulator has charged three individuals for taking part in a bitcoin fraud that cost investors more than $11m.

A fund manager has been accused of having defrauded retail investors by coercing them to invest $58m in two funds, despite having zero investment experience, the Securities and Exchange Commission alleged.

Deutsche Bank has agreed to pay $120m in order to settle charges of having violated the Foreign Corrupt Practices Act.

Following the intense scrutiny of the FinCEN Files, US lawmakers have introduced new legislation to fight money laundering.

The Securities and Exchange Commission has awarded over $6m to joint whistleblowers whose information and assistance led to the successful enforcement of SEC and related actions.

The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.