by AdrianaAMLP | Aug 12, 2024
SEC announces charges against Cynthia and Eddy Petion, along with their company, NovaTech Ltd., for operating a fraudulent scheme that raised more than $650 million in crypto assets from more than 200,000 investors worldwide, including many in the Haitian-American...
by Jyotsna Bucktowar | Jul 1, 2024
RRD’s cybersecurity incident disclosure controls were ineffective in promptly delivering all pertinent information to management for decision-making, lacking clear guidance for reporting personnel. Their incident response policies did not set clear priorities or...
by Jyotsna Bucktowar | Jun 12, 2024
JAG Advisors, deceived approximately nine investors by misrepresenting nearly every aspect of the fund, including its performance and risks. The principal of JAG Advisors, allegedly diverted $1.1 million for personal expenses such as travel and jewellery, and lost...
by Jyotsna Bucktowar | Jun 10, 2024
The US SEC recently won courtroom victories in insider trading and crypto actions, initiated its first off-channel communications action and initiated the second round of settled actions under the Advisers Act Marketing Rule…
by Jyotsna Bucktowar | May 22, 2024
The Securities and Exchange Commission announced that the intercontinental exchange, Inc. agreed to pay a $10 million penalty to settle charges that it caused the failure of nine wholly-owned subsidiaries, including the New York Stock Exchange, to inform the SEC of a...
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