UBS Settles Charges Related to Investments in Complex Exchange-Traded Product
The Securities and Exchange Commission today filed a settled action against UBS Financial Services Inc. for compliance failures relating to sales of a volatility linked exchange-traded product (ETP).
Jul 21, 2021
SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer
The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze to halt an alleged ongoing offering fraud by Las Vegas-based Profit Connect Wealth Services Inc
Jul 21, 2021
SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies
The Securities and Exchange Commission today announced charges against Aron Govil of Jacksonville, Florida, for defrauding investors in two companies he controlled, Cemtrex Inc. and Telidyne Inc.
Jul 21, 2021
SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures
The Securities and Exchange Commission today announced that Fort Worth, Texas, specialty retailer Tandy Leather Factory Inc. and its former chief executive officer Shannon Greene have agreed to settle charges for accounting,
Jul 21, 2021
SEC Awards Nearly $3 Million to Whistleblower
The Securities and Exchange Commission today announced an award of nearly $3 million to a whistleblower whose information and assistance led to a successful SEC enforcement action.
Jul 21, 2021
Chair Gensler Announces Composition of Policy Team
The Securities and Exchange Commission today announced the appointments of Corey Klemmer, Adam Large, Mika Morse, Sirimal Mukerjee, and Sai Rao to Chair Gary Gensler's policy staff, led by the Policy Director Heather Slavkin Corzo.
Jul 21, 2021
Second FinCEN Exchange on Ransomware to Take Place in August
The Financial Crimes Enforcement Network (FinCEN) today announced it will convene a FinCEN Exchange in August 2021 with representatives from financial institutions, other key industry stakeholders, and federal government agencies
Jul 21, 2021Editors Choice
Global X which has $30 billion in managed assets, Files for Bitcoin ETF
New York-based exchange-traded fund (ETF) supplier, Global X, has joined the steadily developing rundown of bitcoin ETF possibilities with another recording with the U.S. Securities...;
