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Practices deemed unlawful include:
He joined the SEC in 2021 and has overseen cases ranging from Regulation Best Interest to greenwashing charges.
Julie DiMauro4 min read
This week strikes end on the US East Coast; EU tariffs on Chinese EVs; SEC charges in pre-IPO scheme; another sentence connected to Brazil's Odebrecht and a Singapore graft investigation resulting in charges against tycoon.
GRIP<1 min read
The firm was accused by the SEC of failing to disclose potential conflicts of interest resulting from the fees it received from outside investors.
Alexander Barzacanos1 min read
The independent director was accused of violating proxy regulations by concealing the relationship.
Alexander Barzacanos2 min read
The allegations revolve around hundreds of episodes of unlawful trading in the secondary (cash) market for US Treasuries.
Julie DiMauro3 min read
One of the most significant aspects of the Ripple v. SEC ruling is the clarification on the status of digital assets says Harley Thomas.
Harley Thomas | Martin Kenney & Co5 min read
All your crypto news and developments over the past week, with stories from the US and around the world.
Hameed Shuja3 min read
The SEC said the firms failed to supervise advisers engaging in the fraudulent practice of preferentially allocating profitable trades at the expense of client accounts.
Julie DiMauro3 min read