Tag: SEC

The Securities and Exchange Commission (SEC) chair has outlined gaps in US regulation of cryptocurrencies that could cause investor risk and financial crime concerns.

Sentieo has bagged $20m in its Series B round, which comes off the heels of record revenue in 2020.

The Securities and Exchange Commission (SEC) charged a New Jersey-based healthcare company and its founder with fraudulently raising nearly $4m from over 130 investors nationwide through the sale of membership units in the company.

Sports apparel company Under Armour has settled with the Securities and Exchange Commission (SEC) and agreed to pay $9m in fines related to misleading its revenue growth to investors from the third quarter of 2015 through the fourth quarter of 2016.

The Securities and Exchange Commission (SEC) has obtained a temporary restraining order and an asset freeze to stop an alleged Ponzi scheme and misappropriation of investor funds by Jonathan P. Maroney through several entities he controlled including Harbor City Capital.

US regulator warned that companies going public through special purpose acquisition companies (SPAC) deals must refrain from publishing misleading statements about their potential growth.

Nigeria’s Securities and Exchange Commission (SEC) has warned capital market operators to stop supporting online investment trading platforms and providing access to unregistered foreign securities in Nigeria.

The Securities and Exchange Commission has awarded two separate whistleblowers a total of almost $3m.

A US regulator has charged three individuals for taking part in a bitcoin fraud that cost investors more than $11m.

A fund manager has been accused of having defrauded retail investors by coercing them to invest $58m in two funds, despite having zero investment experience, the Securities and Exchange Commission alleged.