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SEA 1934 Rule 17a-6
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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, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
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Equiniti Trust Co charged with failing to protect client funds against cyber intrusions
Millions of client funds were stolen due to two unlinked cyber incidents.
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Famous short seller Andrew Left charged with stock manipulation scheme
The DOJ and SEC claim Left defrauded his followers by publishing false and misleading statements about his stock trading recommendations.