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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Regulation
Morgan Stanley Hit With $15 Million SEC Fine Over Client Fund Theft
2024-12-10T10:10:12.076+02:00
According to the regulator, the firm's weak policies enabled hundreds of illegal transactions between 2015–2022.
“Compliance policy failures let financial advisors make hundreds of unauthorized transfers,” said SEC's Wadhwa.
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CryptoCurrency
SEC Collected Record $8.2B in Remedies in FY24, 56% Came from Terraform Labs
2024-11-25T07:59:36.969+02:00
The agency recovered $6.1 billion while imposing penalties of $2.1 billion.
It filed 583 enforcement actions, a 26 per cent decline year-over-year.
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SEC Formally Moves to Appeal $125 Million Fine against Ripple
2024-10-03T10:22:34.275+02:00
The regulator filed a "notice of appeal" against the decision of Judge Analisa Torres.
Ripple’s Chief Legal Officer called the appeal “disappointing, but not surprising.”
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CryptoCurrency
SEC Hits “Pig Butchering” Scammers for the First Time: Busts Two “Fake” Crypto Platforms
2024-09-19T12:49:18.303+02:00
The regulator alleged that the scammers approached investors on social media and then pitched fake investments.
The regulator charged five entities and three individuals in connection with two allegedly fraudulent schemes.
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CryptoCurrency
SEC Takes Action Against DeFi Platform: Charged Rari for Operating “Unregistered Broker”
2024-09-19T08:32:38.122+02:00
The regulator also settled with the DeFi platform and its co-founders.
However, the amount of recovery and penalty has not been disclosed.
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CryptoCurrency
SEC Might “Challenge” FTX If Creditors Are Paid in Stablecoins
2024-09-02T07:52:55.075+02:00
FTX administrators floated a plan to return up to 118% of creditors’ assets.
A group of FTX creditors also opposed the redistribution plan.
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CryptoCurrency
Bitclout’s Founder ‘Illegally’ Raised $257 Million: Faces Fraud Charges
2024-07-31T07:50:40.321+02:00
Nader Al-Naji allegedly misappropriated $7 million of investor funds.
He was arrested last Saturday.
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SEC Counters Ripple’s $10M Penalty Proposal as It Defies “Purposes of Civil Penalty”
2024-06-17T10:13:11.499+02:00
The regulator is seeking $876 million in civil penalties, along with recovery and interest, from the blockchain company.
It called Ripple’s comparison with Terraform Labs not an “apples-to-apples comparison.”
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CryptoCurrency
Ripple Cites Terraform Labs' Settlement to Lower Penalty Against It to $10 Million
2024-06-14T07:30:48.045+02:00
The SEC seeks $1.95 billion from Ripple as a recovery and penalty.
Ripple has compared the SEC’s proposed fines against it to that of the settlement sum against Terraform Labs.
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CryptoCurrency
SEC Settles with Terraform Labs and Do Kwon for $4.5 Billion
2024-06-13T07:14:02.056+02:00
The agreement deal is yet to receive the approval of a judge.
Initially, the SEC proposed to receive $5.3 billion, but the defendants’ lawyers countered it with $1 million.
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Retail FX
SEC to Pay Debt Box $1.75M: Will the CFTC Also Be Sanctioned in My Forex Funds Case?
2024-05-29T09:56:19.863+02:00
The SEC was sanctioned by the court in its case against Debt Box.
Prop trading firm My Forex Funds also seeks a sanctions order against the CFTC, and is citing the Debt Box case to strengthen their arguments.
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CryptoCurrency
Ether ETF Approval Imminent? SEC Asks 3 Exchanges to Amend Filings: Report
2024-05-22T07:50:14.347+02:00
Ether has gained over 28 percent in its dollar value in the last 7 days.
The deadline to decide on the applications filed by CBOE to list ether ETFs by two issuers is also approaching.
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Retail FX
"Free Riding" Fraud: How a Florida Man Bought $300K in Stocks with Minimal Funds
2024-05-14T09:22:13.620+02:00
The SEC has charged a 25-year-old with conducting a fraudulent investment scheme.
He bought a substantial amount of securities without sufficient funds.
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CryptoCurrency
Consensys Sues the SEC: Calls Its Authority over Ethereum “Unlawful”
2024-04-26T07:01:07.299+02:00
The lawsuit seeks a court ruling that Ethereum is not a security and does not fall under the SEC’s authority.
The SEC sent a Wells Notice to Consensys earlier this month seeking clarification over MetaMask’s services.
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CryptoCurrency
SEC Seeks a Total of $5.3 Billion from Terraform Labs and Do Kwon
2024-04-23T09:43:09.824+02:00
The funds are sought in the form of recovery and civil penalties.
Earlier, the US court ruled that Terraform and Kwon are liable for fraud in the case brought by the SEC.
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Retail FX
Senvest Hit with $6.5 Million SEC Fine over Compliance Slip
2024-04-04T11:40:08.901+02:00
The company was penalized for not adhering to electronic communication recordkeeping rules.
The SEC found that Senvest broke the rules from 2019 to 2021.
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CryptoCurrency
SEC Seeks Nearly $2 Billion from Ripple Labs
2024-03-26T09:11:43.495+02:00
The regulator has filed a sealed motion in the New York court seeking the fine and penalty.
The crypto company is expected to respond to the motion by next month.
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"Gross Abuse of Power”: US Court Sanctions SEC for Actions against DEBT Box
2024-03-19T08:55:22.533+02:00
Now, the regulator will have to pay the legal costs of DEBT Box.
The order came as the regulator misrepresented evidence to obtain a temporary restraining order and asset freeze.
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Advisers Pay $400K Settelment for Overhyping AI Investment Strategies
2024-03-18T14:33:53.923+02:00
Firms were fined for misleading statements about artificial intelligence capabilities.
Delphia must pay $225K and Global Predictions $175K in civil penalties.
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Breaking: SEC Website Goes Dark, Bitcoin Tumbles in Aftermath
2024-03-15T09:43:17.075+02:00
Speculations arise that there might have been a DDoS or cyber attack.
The SEC has not yet officially addressed the issue.
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CryptoCurrency
Coinbase Challenges SEC in Court, Seeks Crypto-Specific Rules Again
2024-03-12T06:49:09.493+02:00
The crypto exchange accused the agency of breaking the law in denying crypto-specific rulemaking.
Earlier, the SEC said that the existing market rules apply to crypto.
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SEC Delays Decision on BlackRock’s Spot Ether ETF
2024-01-25T07:25:19.681+02:00
BlackRock, VanEck, ARK 21Shares, Fidelity, Invesco Galaxy, Grayscale, and Hashdex have filed for Ether ETF approval.
The regulator needs more time to review the proposed rule change.
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Thought Leaders
How Will the SEC's Approval of the Bitcoin ETF Affect Investors?
2024-01-23T10:56:27.803+02:00
The SEC's decision is an important milestone for the cryptocurrency industry.
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CryptoCurrency
SEC Approves 11 Bitcoin ETFs, Listing and Trading Will Start Today
2024-01-11T08:23:30.087+02:00
Bitwise will list its Bitcoin ETF on NYSE Arca on Thursday.
Although there will be a 0.2 percent fee, the company will charge 0 percent for the first six months until the AUM reaches $1 billion.
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CryptoCurrency
Fake Bitcoin ETF Approval: SEC’s X Account Lacked 2FA; Lawmakers Seek Investigation
2024-01-10T08:14:18.977+02:00
Two-factor authentication (2FA) requires two distinct forms of identification for login.
The false tweet momentarily pushed Bitcoin prices 4 percent higher.
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