By Maydeen Merino | June 13, 2024
"What we did in [the private fund adviser] rule, I think, was to help investors in private funds get quarterly statements on their fees, performance and any side deals with other investors," Gary Gensler said. "We thought and believed that it was within the law."
By Andrew Denney | June 12, 2024
The SEC accused Kwon of fleecing investors for billions from 2018 until May 2022 through the purchase and sale of interconnected crypto assets.
By Maydeen Merino | June 11, 2024
Regarding a potential appeal, the SEC says that it "will determine next steps as appropriate."
By Maydeen Merino | June 11, 2024
Regarding a potential appeal, the SEC says that it "will determine next steps as appropriate."
By Jimmy Hoover | June 10, 2024
The question before the justices is whether public companies must disclose on Form 10-K to the U.S. Securities and Exchange Commission any risk that has occurred even if that event "presents no known risk of ongoing or future business harm."
By James V. Masella III and Brad Gershel | June 10, 2024
A discussion of the "saga" surrounding 'SEC v. Digital Licensing Inc., d/b/a DEBT Box.' The authors examine how an aggressive attempt to halt alleged fraud evolved into a case of regulatory overreach.
By Maydeen Merino | June 7, 2024
The agency has denied the request for documents, saying they are exempt from the Freedom of Information Act because their disclosure "could reasonably be expected to interfere with enforcement proceedings."
By Sulaiman Abdur-Rahman | June 7, 2024
Zhou Min Ni, who served as the CEO or Co-CEO of HF Foods from 1997 until February 2021, and Jian Ming "Jonathan" Ni, who served as the chief financial officer from 2015 to 2019, agreed to the settlement without admitting or denying the allegations of the SEC's securities fraud complaint.
By Emily Saul | June 7, 2024
The lawsuit, filed in Manhattan state court, claims the defendants preyed on people's faith, focusing on Haitian and other immigrant communities. Victims were targeted through prayer groups and through social media, sometimes in Creole, according court papers.
By Kat Black | June 6, 2024
A proposed class action, filed by Rosen Law Firm, accuses the crypto exchange company Coinbase of selling unregistered digital asset securities on its platform and failing to register the company as a broker-dealer with the SEC and state regulators.
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