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SEC Charges Four Individuals for Long-Running Scheme to Unlawfully Trade in Advance of Numerous Follow-On Offerings
The Securities and Exchange Commission today filed fraud charges against John Lowe, Randy Grewal, Richard Ringel, and David Cooper arising from their longstanding fraudulent scheme to trade in advance of the public announcement of the timing or price, or… Full…
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From the U.S. Attorney’s Office, Eastern District of Missouri ST. LOUIS – U.S. District Judge Henry E. Autrey on Friday sentenced a chiropractor from Jefferson…
From the U.S. Attorney’s Office, Northern District of West Virginia MARTINSBURG, WEST VIRGINIA – Joseph M. Beach, age 54, of Inwood, West Virginia, has been…
The Securities and Exchange Commission today charged Matthew Motil, host of the podcast, “The Cash Flow King,” for fraudulently raising approximately $11 million from more…
The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose material information about unsupported adjustments the company made in several Commission…
The Securities and Exchange Commission today charged registered investment adviser DWS Investment Management Americas Inc. (DIMA or DWS), a subsidiary of Deutsche Bank AG, in…
Venice, California – ECFX, the leader in electronic court notice management for law firms, proudly announces the addition of six outstanding professionals to its esteemed…
Summary Readout of Deputy Secretary Don Graves Travel to Seoul KCPullen@doc.gov Fri, 09/22/2023 – 16:54 Export and investment promotion ICT Supply Chain Trade enforcement FOR…
The Securities and Exchange Commission today announced that American Infrastructure Funds LLC (AIM), a Foster City, California-based registered investment adviser to private funds, agreed to…
Teams at NASA’s Ames Research Center in California’s Silicon Valley have played critical roles in preparing the mission for success and will continue to work…
The Securities and Exchange Commission today announced settled charges against broker-dealer Citadel Securities LLC for violating a provision of Regulation SHO, the regulatory framework designed…