by Jyotsna Bucktowar | Aug 4, 2023
SEC announced payment of more than $104 million to seven whistleblowers who provided the SEC with information and assistance that led to successful enforcement actions by the SEC and another agency. The whistleblowers also provided relevant documents…
by Jyotsna Bucktowar | Jun 8, 2023
The charges include operating unregistered exchanges, broker-dealers, and clearing agencies; misrepresenting trading controls and oversight on the Binance.US platform; and the unregistered offer and sale of securities. The entities engaged in an extensive web of...
by Jyotsna Bucktowar | Jun 6, 2023
Coinbase has made billions of dollars unlawfully facilitating the buying and selling of crypto asset securities. The SEC alleges that Coinbase intertwines the traditional services of an exchange, broker, and clearing agency without having registered any of those...
by Jyotsna Bucktowar | May 11, 2023
Both firms were charged for widespread and longstanding failures to maintain and preserve electronic communications. To settle the charges, HSBC and Scotia acknowledged that their conduct violated recordkeeping provisions of the federal securities laws and...
by Jyotsna Bucktowar | May 5, 2023
SEC announced the largest-ever award, nearly $279 million, to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. The award not only incentivizes whistleblowers to come forward with accurate…
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