The U.S. Securities and Exchange Commission (SEC) has levied fraud charges against Sabby Management LLC, an investment advisory firm, and its managing partner, Hal D.[...]
Broker / Advisor Investigations
The Securities and Exchange Commission (SEC) has taken legal action against Coinbase, Inc., accusing the company of operating its crypto asset trading platform without the[...]
The Securities and Exchange Commission (SEC) has taken legal action against Douglas McKelvey, a former financial advisor, for engaging in fraudulent activities by misappropriating over[...]
Investors of Professional Financial Investors (PFI) have filed a lawsuit against Umpqua Bank, accusing its Novato branch of willfully disregarding suspicious transactions and actively aiding[...]
Allegations have been made in a class action lawsuit that Chase Bank refuses to provide reimbursements for Zelle fraud cases. The lawsuit was filed by[...]
The Securities and Exchange Commission (SEC) lodged accusations against Binance Holdings Ltd., BAM Trading Services Inc., and their founder Changpeng Zhao. Binance Holdings operates the[...]
The Securities and Exchange Commission (SEC) has today initiated legal action against Auctus Fund Management, LLC (“Auctus Management”), and its co-proprietors, Alfred Sollami of Brookline,[...]
The Securities and Exchange Commission (SEC) has brought charges against Marshall E. Melton, a Greensboro, North Carolina resident, and his company, Integrated Consulting & Management,[...]
Today, the U.S. Securities and Exchange Commission (SEC) lodged a complaint in the U.S. District Court for the Western District of Texas. The complaint accuses[...]
The U.S. Securities and Exchange Commission (SEC) disclosed today that it has reached a settlement with Carrie L. Tolstedt, the former head of Wells Fargo[...]