SEC Charges Former Chicago-Area Investment Professional with Defrauding Elderly Client of $1.2 Million Read the full report at Read More

The Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount of securities due to a failure to implement any internal control to track such… Full report at: Read More

SEC Charges Minneapolis Hedge Fund Manager in Alleged Market Manipulation Scheme Read the full report at Read More

The Securities and Exchange Commission today charged Justin Costello for using a false persona, as a Harvard-educated military veteran and hedge fund billionaire, to defraud investors out of millions of dollars. The SEC also charged Costello and David… Full report at: Read More

SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricanes Ian and Fiona. While the safety of local residents is the highest priority, the SEC invites inquiries from any person with obligations under the… Full report at: Read More

The Securities and Exchange Commission today announced charges against The Hydrogen Technology Corporation, its former CEO, Michael Ross Kane, and Tyler Ostern, the CEO of Moonwalkers Trading Limited, a self-described “market making” firm, for their… Full report at: Read More

Engaged in Fraudulent Scheme Read the full report at Read More

SEC Obtains Judgments and Bar Against Former Hedge Fund CEO Related to Hedge Fund Valuation Scheme Read the full report at Read More

SEC Charges Purported Underwriter for His Role in Alleged Ponzi Scheme Read the full report at Read More

The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.… Full report at: Read More