SA 1933 s17(a)
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Agencies bring civil, criminal charges for firm’s massive carbon credit frauds
By manipulating data, QCQ Impact Investors was able to accumulate millions more in carbon credits than otherwise allowed.
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SEC brings fraud charges against crypto startup that targeted prayer groups
Investment “cult” is accused of stealing $650m in Ponzi-like scheme.
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Cryptocurrency developer Nader Al-Naji arrested on wire fraud charge
He is accused of misleading investors and regulators by claiming his crypto-cum-social media platform was decentralized.
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UK-based firm Laidlaw settles with SEC over Reg BI lapses
Net profits to be distributed to harmed investors after failures to supervise.
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FINRA disciplinary action update #7
Disciplinary decisions issued March 31 – April 6, 2023.