Former Head of Corporate Communications of $21 Billion Biopharmaceutical Company Admits Insider Trading (STL.News) The former…
Tag: sec
LJM Funds Management Founder’s Statement
LJM Funds Management Founder’s Statement in response to SEC and CFTC Actions (STL.News) We published two…
SEC News: Suspends Trading in Inactive Issuer Touted on Social Media
Washington, DC (STL.News) The Securities and Exchange Commission today suspended trading in an inactive company amid…
SEC files Administrative Proceeding against Northern Trust Hedge Fund Services, LLC
Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding, File No. 3-20030,…
SEC files Administrative Proceeding against Henry Seth Brock, CPA
Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding against Henry…
SEC Charges Connecticut Investment Adviser, Hai Khoa Dange with Defrauding Retired Couple
Washington, DC (STL.News) The Securities and Exchange Commission today charged Connecticut-based investment adviser Hai Khoa Dang…
SEC files an Administrative Proceeding Against Benaiah Holdings Group
Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding against Benaiah…
Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners
Washington, DC (STL.News) The Securities and Exchange Commission today announced that Caroline A. Crenshaw and Hester…
Deputy Chief Accountant Marc Panucci to Leave SEC
Washington DC (STL.News) The Securities and Exchange Commission today announced that Marc Panucci, Deputy Chief Accountant,…
Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act
Washington DC (STL.News) The Securities and Exchange Commission and the Federal Deposit Insurance Corporation have adopted…
SEC Charges Trustify Inc. and Founder, Daniel Boice in $18.5 Million Offering Fraud
Washington DC (STL.News) The Securities and Exchange Commission today charged Trustify Inc., an online marketplace purportedly…
SEC Charges Silicon Valley Start-Up, YouPlus, Founder and CEO, Shaukat Shamim, With Defrauding Investors
Washington DC (STL.News) The Securities and Exchange Commission Monday charged a Mountain View, California-based technology start-up…