The Securities and Exchange Commission (SEC) has taken legal action against Chadd L. Evans from Fincastle, Virginia, for orchestrating a fraudulent scheme known as “free-riding.”[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) has taken action against Legendary Partners, LLC, a California-based company, and its founder, Scott L. Snyder, for orchestrating a[...]
The Securities and Exchange Commission (SEC) has brought charges against Celsius Network Limited (Celsius) and its founder and former CEO, Alex Mashinsky, for violating registration[...]
The Securities and Exchange Commission (SEC) has taken action against Joseph Michael “Mike” Todd, along with his entities Todd Financial Services, LLC (TFS) and TFS[...]
The Securities and Exchange Commission (SEC) has filed charges against Olivier Amar, the former Chief Growth Officer of Frank, for fraud related to the company’s[...]
Judge Peter Barbadoro of the United States District Court for the District of New Hampshire has issued a ruling against LBRY, Inc., a software company[...]
The Securities and Exchange Commission (SEC) has announced that it has reached a settlement with RSE Markets Inc. regarding charges of operating as an unregistered[...]
The Securities and Exchange Commission has taken urgent action to put a stop to an alleged Ponzi scheme orchestrated by Nayeem Choudhury, a resident of[...]
The Securities and Exchange Commission (SEC) has announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding[...]
The U.S. District Court for the Southern District of New York has entered a final judgment on consent against Andrew DeFrancesco, the former Chairman of[...]