The complaint, filed on Aug. 26 in the U.S. District Court for the Northern District of Georgia, charges Jonathan Adam, Tanner Adam, GCZ Global LLC and Triten Financial Group LLC with violating ...

The SEC says its staff can't verify the CEO's identity or location. The Securities and Exchange Commission has filed fraud charges against China-based investment advisor QZ Asset Management ...

Renato Mariotti, a partner at Paul Hastings’s investigations and white-collar defense practice in the Am Law 50 firm’s Chicago office, is not involved in the SEC’s three-count fraud lawsuit ...

Lakewood, Colorado-based BF Borgers CPA PC and its owner Ben ... and confidence in public accounting." Following the SEC's charges in May, the firm agreed to pay a $12 million civil penalty and ...

A San Francisco crowdfunder with a history of financial crimes defrauded investors out of millions of dollars by misappropriating funds as his firm was bleeding cash, a recent complaint by the ...

According to the SEC’s complaint against Roberts, shortly before Kubient’s initial public offering, Roberts fabricated reports that Kubient had successfully tested a ...

That negligence, the regulator maintained, meant the firm and its principal “operated a fraud on the Funds.” The SEC’s complaint charges FlowPoint and DeCaprio with violating numerous ...

Seven companies settled with the Securities and Exchange Commission over charges that they violated ... companies totaled more than $3 million, the SEC said Monday. Among other actions, the ...

which the SEC will allot to shareholders who faced losses during the period – Austal USA has reached a plea deal with the Justice Department over the criminal charges, according to the company ...

To settle the SEC’s charges, Keurig agreed to pay a $1.5 million civil penalty. Commissioner Hester Peirce had a few words to say in dissent. According to the SEC’s Order, back in 2014 ...

FirstEnergy has agreed to pay a $100 million fine to settle civil fraud charges filed by the Securities and ... But the utility’s former top executive will still face charges from the SEC. The SEC is ...

FAYETTEVILLE, Ark. — To begin each week, SEC Network sideline reporter Cole Cubelic shares his thoughts on every SEC team’s performance from the weekend prior, via his X account. Cubelic's ...