US Securities and Exchange Commission was created in 1929 after the stock market crash to enforce laws against market manipulation. The SEC enforces the Securities Exchange Act of 1933, Trust Indenture Act of 1939, Investment Advisors Act of 1940, Sarbanes-Oxley Act of 2002, and many other statutes. Section 4 of the Securities Exchange Act of 1934 helped create the agency. The most commonly used Category will be “Business.” The most commonly used tags are Fraud, Arrest, and Federal Prison.
SEC Awards More Than $104 Million to Seven Whistleblowers Washington, DC (STL.News) The Securities and Exchange Commission (SEC)…
SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants - Digital Licensing…
SEC Charges New Jersey-Based ETF Manager Samuel Masucci for Fraudulent Conduct and Bars Founder Washington, DC (STL.News) The…
SEC Charges Florida Investment Adviser Charles Rustin Holzer, a Second Time for Insider Trading Wellington resident agrees to…
SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds from Unregistered Crypto Asset…
SEC Charges Florida Resident Brent Seaman with Operating a $35 Million Ponzi Scheme that Targeted Church Members Washington,…
SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet Washington, DC (STL.News) The Securities and…
SEC Charges Digital World SPAC for Material Misrepresentations to Investors Washington, DC (STL.News) The Securities and Exchange Commission…
SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors Washington,…
SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities…
SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange. Washington, DC (STL.News) The Securities and Exchange…
The Securities and Exchange Commission announced a Whistleblower Fee of $9,000,000 Washington, DC (STLNews) The Securities and Exchange…
SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports (Compliance Failure) - Fined…
SEC Charges Former Army Financial Counselor Caz L. Craffy, Who Defrauded Gold Star Family Members Washington, DC (STL.News)…
SEC Charges Two Oregon Residents, Robert D. Christensen and Anthony M. Matic, and Their Related Entities with $10…
