SEC-PR-2024-11 (JAN. 29, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-11 Download: SEC-PR-2024-11 ⊗ (PDF) PRESS RELEASE | 2024-11 SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud. Promoter Brenda Chunga (aka Bitcoin Beautee) agrees to settle fraud and unregistered offering charges. Washington D.C., Jan. 29, 2024 — The Securities and Exchange Commission today […]
Category: SEC-2401
Securities and Exchange Commission (SEC)
January 2024 Press Releases
SEC-PR-2024-10 (JAN. 25, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-10 Download: SEC-PR-2024-10 ⊗ (PDF) PRESS RELEASE | 2024-10 SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures Washington D.C., Jan. 25, 2024 — The Securities and Exchange Commission today announced that Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), agreed to settle charges […]
SEC-PR-2024-09 (JAN. 25, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-9 Download: SEC-PR-2024-09 ⊗ (PDF) PRESS RELEASE | 2024-9 SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund. Washington D.C., Jan. 25, 2024 — The Securities and Exchange Commission today announced settled charges against Aon Investments USA Inc., a Chicago-based registered investment adviser, and […]
SEC-PR-2024-08 (JAN. 24, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-8 Download: SEC-PR-2024-08 ⊗ (PDF) PRESS RELEASE | 2024-8 SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections Washington D.C., Jan. 24, 2024 — The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in […]
SEC-PR-2024-07 (JAN. 16, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-7 Download SEC-PR-2024-07 ⊗ (PDF) PRESS RELEASE | 2024-7 J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule. The Firm’s confidential agreements impeded clients from communicating with the SEC. Washington D.C., Jan. 16, 2024 — The Securities and Exchange Commission today announced settled charges against J.P. Morgan Securities […]
SEC-PR-2024-06 (JAN. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-6 Download: SEC-PR-2024-06 (PDF) PRESS RELEASE | 2024-6 SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business. The Firm agrees to pay more than $249 million to settle fraud charges and for failing to enforce information barriers. Washington D.C., Jan. 12, 2024 — The Securities […]
SEC-PR-2024-05 (JAN. 11, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-5 Download: SEC-PR-2024-05 ⊗ (PDF) PRESS RELEASE | 2024-5 SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures. Washington D.C., Jan. 11, 2024 — The Securities and Exchange Commission today charged Shanchun Huang with manipulative trading in the stock of Future FinTech Group Inc., using an offshore […]
SEC-PR-2024-04 (JAN. 10, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-4 Download: SEC-PR-2024-04 ⊗ (PDF) PRESS RELEASE | 2024-4 SEC Charges Global Software Company SAP for FCPA Violations. German multinational agrees to monetary sanctions of nearly $100 million to settle SEC’s bribery charges. Washington D.C., Jan. 10, 2024 — The Securities and Exchange Commission today announced charges against global software […]
SEC-PR-2024-03 (JAN. 5, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-3 Download: SEC-PR-2024-03 (PDF) PRESS RELEASE | 2024-3 Securities and Exchange Commission Appoints Stacey Bowers as Small Business Advocate Washington D.C., Jan. 5, 2024 — The Securities and Exchange Commission today announced that University of Denver law professor Stacey Bowers has been named the new director of the SEC’s Office of […]
SEC-PR-2024-02 (JAN. 3, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-2 Download: SEC-PR-2024-000 ⊗ (PDF) PRESS RELEASE | 2024-2 SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief Washington D.C., Jan. 3, 2024 — The Securities and Exchange Commission today announced that it obtained an asset freeze and other emergency relief […]