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Institutional FX
SVB Financial Executives' Share Sales under Scrutiny in Ongoing SEC and DoJ Probes
DoJ and SEC join Fed in examining the SVB's crisis.
Investigations include reviewing SVB Financial executives' shares sales before the collapse.
Wednesday, 15/03/2023 | 09:43 GMT
by
Damian Chmiel
Institutional FX
Signature Bank Faced Criminal Probe in the US Before Collapse: Report
Federal prosecutors and the SEC were looking into the operations of the bank.
The investigators were concerned over AML lapses.
Wednesday, 15/03/2023 | 07:00 GMT
by
Arnab Shome
Institutional FX
Credit Suisse Highlights "Material Weakness" in Delayed Annual Report
The lender's shares are testing all-time lows.
The collapse of SVB only makes the troubled bank's situation worse.
Tuesday, 14/03/2023 | 10:43 GMT
by
Damian Chmiel
CryptoCurrency
SEC Busts BKCoin for Running $100M 'Ponzi-Like Scheme'
The scheme made Ponzi-like payments with more than $3.8 million.
One co-founder used at least $371,000 for personal expenses.
Tuesday, 07/03/2023 | 06:56 GMT
by
Arnab Shome
CryptoCurrency
US Regulators Charge FTX’s Senior Executive Nishad Singh with Fraud
Associates Caroline Elison and Gary Wang pleaded guilty in December last year.
Samuel Bankman-Fried pleaded not guilty to eight count charges in early January.
Tuesday, 28/02/2023 | 20:51 GMT
by
Solomon Oladipupo
CryptoCurrency
SEC Is after Robinhood’s Crypto Listings
The crypto arm of Robinhood received a subpoena from the SEC last December.
The regulatory interest came after a series of collapses in the crypto industry.
Tuesday, 28/02/2023 | 05:48 GMT
by
Arnab Shome
CryptoCurrency
Former NBA Star Paul Pierce Pays $1.4M Fine for Endorsing EMAX Tokens
EMAX tokens, offered and sold by EthereumMax, were unregistered securities.
The SEC earlier charged Kim Kardashian for promoting the same tokens.
Monday, 20/02/2023 | 07:38 GMT
by
Arnab Shome
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CryptoCurrency
SEC Charges Terraform Labs and CEO Do Kwon for "Securities Fraud"
The charges blamed them for running a fraudulent scheme.
The whereabouts of Do Kwon are currently unknown.
Friday, 17/02/2023 | 06:22 GMT
by
Arnab Shome
Op-ed
CryptoCurrency
Op-ed
Coinbase Takes a Stand Against the SEC
Regulators are increasing the pressure on crypto companies, including Kraken and Paxos.
Coinbase’s defense of its staking services may start a pushback from the crypto industry.
Tuesday, 14/02/2023 | 15:30 GMT
by
Sam White
CryptoCurrency
Kraken Shuts Staking-as-a-Service in US amid $30M SEC Settlement
The exchange will continue to offer staking for non-US customers.
The SEC raised concerns about the risks of staking-as-a-service platforms.
Friday, 10/02/2023 | 06:54 GMT
by
Arnab Shome
CryptoCurrency
Kraken Faces SEC Probe over Unregistered Securities Listings
Neither the regulator nor the exchange officially confirmed the investigation.
The probe is believed to be in advanced stages with possibilities of a settlement.
Thursday, 09/02/2023 | 07:31 GMT
by
Arnab Shome
FinTech
Morgan Stanley Fines Employees Up to $1M for Messaging Breaches
The banker agreed to pay $125M to SEC five months ago to resolve a similar case.
16 Wall Street firms agreed to pay a combined $1.1 billion in 2022 to settle with the SEC.
Thursday, 26/01/2023 | 15:48 GMT
by
Solomon Oladipupo
Institutional FX
SEC Fines Bloomberg $5M over Disclosure Failure on Fixed Income Prices
The alleged violation occurred between at least 2016 and October 2022.
The SEC said Bloomberg agreed to settle without admitting or denying its findings.
Monday, 23/01/2023 | 21:34 GMT
by
Solomon Oladipupo
CryptoCurrency
Crypto Lender Nexo Fined $46.5M for US Securities Law Violations
The company agreed to the settlement, paying the monetary penalty.
It is also facing a criminal investigation in Bulgaria.
Friday, 20/01/2023 | 06:38 GMT
by
Arnab Shome
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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
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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
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