Tags SEC

Tag: SEC

SEC punishes JPMorgan for recordkeeping failures with $125m fine

The Securities and Exchange Commission (SEC) has fined JPMorgan $125m due to ‘widespread and longstanding failures’ by the bank to maintain and preserve written communications.

SEC fines Poloniex $10m for operating unregistered crypto exchange

The US Securities and Exchange Commission (SEC) has slapped a $10m fine on crypto firm Poloniex for operating an unregistered cryptocurrency exchange.

SEC charges two men for allegedly misleading consumers with sales of...

The US Securities and Exchange Commission (SEC) has charged two men and their Cayman Islands-based company for unregistered sales of over $30m of securities through smart contracts and decentralised finance (DeFi) technology.

SEC chair highlights US cryptocurrency regulation shortfalls

The Securities and Exchange Commission (SEC) chair has outlined gaps in US regulation of cryptocurrencies that could cause investor risk and financial crime concerns.

Sentieo closes $20m Series B after a strong 2020

Sentieo has bagged $20m in its Series B round, which comes off the heels of record revenue in 2020.

Under Armour to pay $9m to settle SEC revenue probe for...

Sports apparel company Under Armour has settled with the Securities and Exchange Commission (SEC) and agreed to pay $9m in fines related to misleading its revenue growth to investors from the third quarter of 2015 through the fourth quarter of 2016.

MoneyGram steps back from partnership with Ripple over SEC lawsuit

Remittance firm MoneyGram suspends trading on Ripple’s payment platform, RippleNet, citing the ongoing $1.3bn lawsuit filed by the U.S. Securities and Exchange Commission (SEC).

SEC announces almost $3m award to two whistleblowers

The Securities and Exchange Commission has awarded two separate whistleblowers a total of almost $3m.

SEC charges three individuals with defrauding investors in a bitcoin scheme

A US regulator has charged three individuals for taking part in a bitcoin fraud that cost investors more than $11m.

Fund manager charged for defrauding retail investors to the tune of...

A fund manager has been accused of having defrauded retail investors by coercing them to invest $58m in two funds, despite having zero investment experience, the Securities and Exchange Commission alleged.

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