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McHenry tells regulators era of post-financial crisis regulation is over
House Financial Services Committee Chairman Patrick McHenry signals plans to alter oversight of prudential banking regulators.
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Trading firm dinged for using buzzwords about purported AI capabilities
The SEC also accused the pair of lying to investors about Rimar’s assets under management.
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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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Compliance failures related to cherry-picking scheme at two IA firms
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.
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Austal USA hit with $24m penalty for fraudulently overstating profits
The company is accused of falsifying its profits and boosting its stock price by obscuring shipbuilding costs.
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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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SEC charges Trillium Capital, CEO over scheme to manipulate Getty Images stock
SEC and DOJ claim executive liquidated Getty Images stock holdings after a sham offer to buy the company drove its stock price up.
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SEC & DOJ bring insider trading charges related to Dick’s Sporting Goods earnings
The cases revolve around MNPI an individual got from a Dick’s Sporting Goods employee to engage in nearly 200 trades of the company’s securities.