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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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SEC Combats Stock Manipulation and Crypto/ICO Schemes ... And Other Fines, Sanctions, Legal Actions
May 23, 2019
- - Compiled by Howard Haykin
- 5 Individuals Charged in Pump-and-Dump Scheme [SEC]
- Four Charged Individuals in a Microcap Pump-And-Dump Fraud [SEC]
- Final Judgment Against Howard Appel in Stock Manipulation Scheme [SEC]
- CFPB Sues Law Firm that Filed 99,000 Debt-Collection Suits [Bloomberg]
- Additional Charges in Insider Trading Scheme Involving NFL Player and Former Investment Banker [SEC]
- Something's Happening with a Discrimination Case But You Don't Know What It Is, Do You Mr. Jones? [BrokeAndBroker]
- Member Firm Refuses to Produce Settlement Agreement in FINRA Expungement Arbitration [BrokeAndBroker]
- UBS Ordered to Pay $7.8Mn in Puerto Rico Arbitration [AdvisorHub]
- Morgan Stanley Ordered to Pay Client $520K in Suitability Claim [AdvisorHub]
- Chicago Banker Accused of Bribing Trump Campaign Chair Manafort with $16Mn in Loans in Exchange for Top White House Position He Never Received [BusinessInsider]
- Emergency Order Halts Alleged Diamond-Related ICO Scheme [SEC]
- CA Companies Promised Investors Riches in Cryptocurrency Pyramid Scheme [SEC]
- Prominent New York Developer Charged with Ponzi-Like Real Estate Investment Scheme [SEC]
