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SEC

Digital Asset and “Crypto” Investment Scams – Investor Alert

Read here: https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-alerts/digital-asset

SEC Announces Three Actions Charging Deficient Cybersecurity Procedures

Read here: https://www.sec.gov/news/press-release/2021-169

SEC Charges Netflix Insider Trading Ring

Read here: https://www.sec.gov/news/press-release/2021-158

SEC Charges Florida Film Production Company and Its CEO with Fraud

Read here: https://www.sec.gov/litigation/litreleases/2021/lr25166.htm

SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange

Read here: https://www.sec.gov/news/press-release/2021-147

SEC Charges Decentralized Finance (DeFi) Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings

Read here: https://www.sec.gov/news/press-release/2021-145

SEC Obtains Default Judgment Against Hacker and Trader in Edgar Hacking Case

Read here: https://www.sec.gov/litigation/litreleases/2021/lr25158.htm

SEC Charges Issuer [of UULA tokens] Conducting Fraudulent and Unregistered Digital Asset Security Offering

Read here: https://www.sec.gov/litigation/litreleases/2021/lr25157.htm

SEC charges founder of Nikola Corp. with fraud

Read here: https://www.sec.gov/news/press-release/2021-141

SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies

Read here: https://www.sec.gov/news/press-release/2021-136

SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer

Read here: https://www.sec.gov/news/press-release/2021-131

ICO “Listing” Website Charged With Unlawfully Touting Digital Asset Securities

Read here: https://www.sec.gov/news/press-release/2021-125

SEC Charges TheBull with Selling “Insider Trading Tips” on the Dark Web

Read here: https://www.sec.gov/news/press-release/sec-charges-thebull-selling-insider-trading-tips-dark-web

SEC Charges Hedge Fund Trader in Lucrative Front-Running Scheme

Read here: https://www.sec.gov/news/press-release/2021-118

SEC Obtains Final Judgment Against Former Executive of Financial Services Company

Read here: https://www.sec.gov/litigation/litreleases/2021/lr25121.htm

SEC Obtains Asset Freeze Against Offshore Fund and Its Operators

Read here:https://www.sec.gov/news/press-release/2021-107

SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze

Read here: https://www.sec.gov/news/press-release/2021-105

SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds

Read here: https://www.sec.gov/news/press-release/2021-98?utm_medium=email&utm_source=govdelivery

SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud

Read here: https://www.sec.gov/news/press-release/2021-66

SEC Obtains Final Judgment Concluding Fraud Case Against Co-Founder of Real Estate Crowdfunding Portal

Read here: https://www.sec.gov/litigation/litreleases/2021/lr25066.htm

SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues

Read here: https://www.sec.gov/news/press-release/2021-52

SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets

Read here: https://www.sec.gov/news/press-release/2021-46

SEC Charges Recidivist Securities Fraudster with Defrauding Investors

Read here: https://www.sec.gov/litigation/litreleases/2021/lr25049.htm

Risk Alert: The Division of Examinations’ Continued Focus on Digital Asset Securities

Read here: https://www.sec.gov/files/digital-assets-risk-alert.pdf

SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts

Read here: https://www.sec.gov/news/press-release/2021-43

SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity

Read here: https://www.sec.gov/news/press-release/2021-35

SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors…by running a Ponzi-like scheme that raised over $1.7 billion

Read here: https://www.sec.gov/news/press-release/2021-24

SEC Charges Vuuzle Media Corp. and Affiliated Individuals in Connection With $14 Million Offering Fraud

Read here: https://www.sec.gov/news/press-release/2021-18

SEC Charges California Resident with Fraudulent Free Riding Scheme

Read here: https://www.sec.gov/litigation/litreleases/2021/lr25012.htm

SEC Charges Jewelry Wholesaler with Fraudulent Securities Offering Targeting Current and Retired Police Officers and Firefighters

Read here: https://www.sec.gov/news/press-release/202-343

SEC Charges Long Island City Man with Trading and Tipping Others as Part of Insider Trading Scheme

Read here: https://www.sec.gov/litigation/litreleases/2020/lr24998.htm

SEC Obtains Emergency Asset Freeze, Charges Crypto Fund Manager with Fraud

Read here: https://www.sec.gov/news/press-release/2020-341

SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers

Read here: https://www.sec.gov/news/press-release/2020-340

SEC Charges Ripple and Two Executives with Conducting $1.3 Billion Unregistered Securities Offering

Read here: https://www.sec.gov/news/press-release/2020-338

SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution

Read here: https://www.sec.gov/news/press-release/2020-321

SEC Charges E-Commerce Startup and CEO With Defrauding Investors

Read here: https://www.sec.gov/news/press-release/2020-291

SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud

Read here: https://www.sec.gov/news/press-release/2020-251

SEC Charges John McAfee With Fraudulently Touting ICOs

Read here: https://www.sec.gov/news/press-release/2020-246

SEC Charges HP Inc. With Disclosure Violations and Control Failures

Read here: https://www.sec.gov/news/press-release/2020-241

SEC Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors

Read here: https://www.sec.gov/news/press-release/2020-223

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