The Securities and Exchange Commission (SEC) has taken legal action against Crowe U.K. LLP, a London-based audit firm, and its CEO, Nigel Bostock, along with[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) has officially announced charges against Ashraf Mufareh, hailing from Orlando, Florida, and his company, ONPASSIVE LLC (collectively referred to[...]
The Securities and Exchange Commission (SEC) has successfully obtained a conclusive ruling against Vika Ventures LLC (“Vika”), a defendant previously charged with engaging in fraudulent[...]
The Securities and Exchange Commission (SEC) has taken action against Colombian conglomerate Grupo Aval Acciones y Valores S.A., also known as Grupo Aval S.A., along[...]
The Securities and Exchange Commission (SEC) has officially announced a settlement with Bittrex Inc., a prominent crypto asset trading platform, and its co-founder and former[...]
The Securities and Exchange Commission (SEC) has taken legal action against Timothy Overturf, a resident of Arcata, California, and his investment advisory firm, Sisu Capital,[...]
The Securities and Exchange Commission (SEC) has made an announcement regarding resolved fraud charges against Chad Stickforth, the former managing director of RSF Capital, LP.[...]
The Securities and Exchange Commission (SEC) has issued charges against ten broker-dealer firms and one dually registered broker-dealer and investment adviser due to systemic and[...]
The Securities and Exchange Commission (SEC) has taken legal action by filing a complaint in the U.S. District Court for the Central District of California[...]
The Securities and Exchange Commission (SEC) has successfully secured a conclusive judgment in relation to the case against defendant Austin Mahone. The SEC had previously[...]