Category: SEC-2401

Securities and Exchange Commission

January 2024 Press Releases

SEC-PR-2024-11

SEC-PR-2024-11 SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud Source: sec.gov/newsroom/press-releases/2024-11 Access Date:  July 13, 2024 Press Release Promoter Brenda Chunga (aka Bitcoin Beautee) agrees to settle fraud and Unregistered Offering charges For Immediate Release 2024-11 Washington D.C., Jan. 29, 2024 — The Securities and Exchange Commission today […]

SEC-PR-2024-10

File ID:  SEC-PR-2024-10 Date:  January 25, 2024 Accessed:  June 22, 2024 Headline:  The Securities and Exchange Commission Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures. Source:  https://www.sec.gov/news/press-release/2024-10 Categories: MISREPRESENTATIONS IN IPO-RELATED DISCLOSURES SEC-PR-2024-10 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-09

SEC-PR-2024-09 Source:  https://www.sec.gov/newsroom/press-releases/2024-9 Accessed:  July 13, 2024 SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund FOR IMMEDIATE RELEASE | 2024-9 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 the firm’s […]

SEC-PR-2024-08

SEC-PR-2024-08 Source:  https://www.sec.gov/newsroom/press-releases/2024-8 Accessed:  July 13, 2024 SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections FOR IMMEDIATE RELEASE | 2024-8 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 initial public offerings […]

SEC-PR-2024-07

SEC-PR-2024-07 Source:  https://www.sec.gov/newsroom/press-releases/2024-7 Accessed:  July 13, 2024 J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule Firm’s confidential agreements impeded clients from communicating with the SEC FOR IMMEDIATE RELEASE | 2024-7 Washington D.C., Jan. 16, 2024 — The Securities and Exchange Commission today announced settled charges against J.P. Morgan Securities LLC (JPMS) for […]

SEC-PR-2024-06

Agency News Release - SEC-PR-2024-05

SEC-PR-2024-06 Source:  https://www.sec.gov/newsroom/press-releases/2024-6 Accessed:  July 13, 2024 SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business Firm agrees to pay more than $249 million to settle fraud charges and for failing to enforce information barriers FOR IMMEDIATE RELEASE | 2024-6 Washington D.C., Jan. 12, 2024 — The Securities and […]

SEC-PR-2024-05

Agency News Release - SEC-PR-2024-05

SEC-PR-2024-05 Source:  https://www.sec.gov/newsroom/press-releases/2024-5 Accessed:  July 13, 2024 SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures FOR IMMEDIATE RELEASE | 2024-5 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 account shortly […]

SEC-PR-2024-04

Agency News Release - SEC-PR-2024-05

SEC-PR-2024-04 Source:  https://www.sec.gov/newsroom/press-releases/2024-4 Accessed:  July 13, 2024 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 FOR IMMEDIATE RELEASE | 2024-4 Washington D.C., Jan. 10, 2024 — The Securities and Exchange Commission today announced charges against global software company SAP […]

SEC-PR-2024-02

Agency News Release - SEC-PR-2024-05

SEC-PR-2024-02 Source:  https://www.sec.gov/newsroom/press-releases/2024-2 Accessed: July 13, 2024 SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief FOR IMMEDIATE RELEASE | 2024-2 Washington D.C., Jan. 3, 2024 — The Securities and Exchange Commission today announced that it obtained an asset freeze and other emergency relief concerning an […]