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CryptoCurrency

SEC Takes Gemini, Genesis to Court for Selling Unregistered Securities

  • Genesis halted the withdrawals amid a liquidity crunch.
  • It owes about 340,000 Gemini Earn customers almost $900 million.
Friday, 13/01/2023 | 08:29 GMT by Arnab Shome
News

US SEC Charges Individuals behind $45M Blockchain Fraud CoinDeal

  • The complaint named five individuals and three entities.
  • The fraudulent scheme defrauded "tens of thousands of investors."
Thursday, 05/01/2023 | 11:16 GMT by Arnab Shome
Retail FX

SEC Busts $4.3 Million FX Ponzi Schemes

  • The two schemes, Avail Progression and Elite Generators, dupped over 100 investors.
  • The operator of the schemes did not invest any proceeds.
Monday, 19/12/2022 | 06:19 GMT by Arnab Shome
FinTech

SEC Charges 8 Twitter Influencers with $100M Pump-and-Dump Fraud

  • The influencers allegedly used Twitter and Discord to manipulate exchange-traded stocks.
  • One of the influencers, Daniel Knight, was accused of aiding and abetting.
Wednesday, 14/12/2022 | 21:10 GMT by Solomon Oladipupo
Institutional FX

Virtu Financial Sues SEC over Failed FOIA Requests

  • The company sought details on the rulemaking process last June.
  • It is now concerned over the transparency of the regulator.
Wednesday, 30/11/2022 | 05:10 GMT by Arnab Shome
CryptoCurrency

US SEC Starts Administrative Proceedings against American CryptoFed

  • American CryptoFed registered Ducat and Locke tokens in September 2021.
  • The firm's application to withdraw its registration in May 2022 was rejected.
Friday, 18/11/2022 | 20:51 GMT by Solomon Oladipupo
Institutional FX

US SEC Recovers Record $6.4bn in Penalties and Disgorgement in FY22

  • The number of recovered funds shot up 67% from the prior year's $3.9 billion.
  • The SEC paid a record $229 million to whistleblowers in FY22.
Wednesday, 16/11/2022 | 03:24 GMT by Solomon Oladipupo
CryptoCurrency

Crypto Ponzi Scheme Defrauded $295m in BTC. The SEC Charged Its Creator

  • The trading bot was supposed to auto-invest, however, the money never hit the market.
  • A huge part of the embezzled BTC went strait to the Ponzi scheme creator and promoters.
Monday, 07/11/2022 | 09:02 GMT by Damian Chmiel
Regulation

US SEC Awards $10M to Whistleblower Months after Programme Amendment

  • The regulator has issued a number of whistleblower awards in 2022.
  • It announced two amendments to its whistleblower programme in late August.
Monday, 31/10/2022 | 19:51 GMT by Solomon Oladipupo
News

SEC Charges Chicago Crypto Capital for Illegally Selling BXY Tokens

  • BXY was the token issued by the now-defunct crypto exchange, Beaxy.
  • Chicago Crypto Capital sold the tokens from August 2018 to September 2019.
Thursday, 15/09/2022 | 05:57 GMT by Arnab Shome
Retail FX

US SEC Records First Case of Broker-Dealer Municipal Advisor Violation

  • The regulator fined Loop Capital Markets $100k.
  • The broker-dealer advised a city on fixed income securities without being registered.
Wednesday, 14/09/2022 | 22:50 GMT by Solomon Oladipupo
Retail FX

US SEC Charges 18 for Hacking Retail Brokerage Accounts to Buy Microcap Stocks

  • The individuals gained over $1 million in illicit profit from the unauthorized purchases.
  • The SEC described the cross-border scheme as 'brazen and sophisticated'.
Tuesday, 16/08/2022 | 15:58 GMT by Solomon Oladipupo
CryptoCurrency

US SEC Charges 4 Co-founders, 7 Others in $300M Crypto Pyramid Scheme

  • The co-founders were based in Russia, Georgia and Indonesia.
  • Three promoters of the scheme were based in the United States, the SEC said.
Monday, 01/08/2022 | 22:02 GMT by Solomon Oladipupo
Retail FX

SEC Fines JPMorgan, UBS and TradeStation for Lapses in Identity Theft Prevention

  • All three firms agreed to pay the monetary penalty.
  • None have agreed or denied the charges.
Thursday, 28/07/2022 | 05:48 GMT by Arnab Shome
News

US SEC Reportedly Probing Coinbase for Listing Unregistered Securities

  • The regulator earlier said that at least seven cryptocurrencies on Coinbase are securities.
  • Coinbase strongly denied that any of the listed cryptocurrencies are securities.
Tuesday, 26/07/2022 | 10:10 GMT by Arnab Shome
Institutional FX

Insider Trading: US SEC Files Charges against 9 Persons in 3 Cases Involving over $6.8M

  • The cases involve a former CISO, an investment banker, and ex-FBI trainee.
  • The SEC separately filed insider trading charges against a former US Rep.
Monday, 25/07/2022 | 21:33 GMT by Solomon Oladipupo
Retail FX

US SEC Charges Former Congressman with Stocks Insider Trading

  • The regulator accused Stephen Buyer of using his firm to commit insider trading.
  • The complaint seeks disgorgement of ill-gotten gains plus interest and penalties.
Monday, 25/07/2022 | 19:42 GMT by Felipe Erazo
Institutional FX

US Regulator Awards Another Whistleblower over $17 Million

  • Earlier, the SEC awarded over $6 million to two whistleblowers.
  • The regulator has awarded approximately $1.3 billion since 2012.
Tuesday, 19/07/2022 | 17:41 GMT by Solomon Oladipupo
Institutional FX

Two Whistleblowers Get over $6 Million from US Watchdog

  • Each whistleblower was awarded more than $3 million.
  • The US SEC has awarded approximately $1.3 billion to 276 individuals since 2012.
Friday, 15/07/2022 | 19:13 GMT by Solomon Oladipupo
Op-ed
Op-ed
CryptoCurrency
Op-ed
Op-ed

What Are the Implications of the SEC Plans to Regulate DeFi?

  • The SEC expects to pursue cases against the latest development in digital assets, NFTs.
  • Another area that the regulation will hit is stablecoins.
Monday, 11/07/2022 | 09:49 GMT by Ian Kane
Institutional FX

UBS Settles SEC’s Fraud Charges by Paying $25 Million

  • It was related to the marketing and selling of a complex investment strategy.
  • The bank failed to reveal the risks of the strategy to the financial advisors.
Thursday, 30/06/2022 | 08:41 GMT by Arnab Shome
Retail FX

US SEC Imposes a $100 Million Penalty on Ernst & Young

  • It's the largest ever fine imposed by the authority against an audit firm.
  • EY should hire two independent consultants as part of the measures taken by the SEC.
Wednesday, 29/06/2022 | 01:13 GMT by Felipe Erazo
Regulation

Binance’s BNB Token Is Reportedly Facing Probe by the US SEC

  • Neither the SEC nor Binance have confirmed the reports of the investigation.
  • Binance is also facing investigations by multiple other US agencies.
Tuesday, 07/06/2022 | 07:09 GMT by Arnab Shome
Retail FX

US SEC Stops Alleged $39 Million Fraud by Hedge Fund Adviser

  • The US SEC charged EIA All Weather Alpha Fund I Partners LLC.
  • Andrew M. Middlebrooks was named in the complaint.
Wednesday, 25/05/2022 | 19:46 GMT by Felipe Erazo
Institutional FX

US SEC Fines TradeZero America $100k for Meme Stock Deception

  • The SEC fined the Co-Founder, Daniel Pipitone $25k.
  • The agency said the case “sends a powerful message.”
Tuesday, 24/05/2022 | 20:19 GMT by Solomon Oladipupo
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