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The U.S. Securities and Exchange Commission has reached settlements with three defendants who allegedly misappropriated $14 million in investment funds intended for a cannabis enterprise. https://t.co/BVRyixWIy7
The U.S. Securities and Exchange Commission accused two Florida men on Friday of running a fraudulent litigation funding scheme by promising investors returns from financing mass tort litigation they were not actually funding. https://t.co/OSH2jA3onk
SEC Enforcement Takes Broad View of Anti-Whistleblower Rule in Latest Action Targeting Investment Advisers and Broker-Dealer https://t.co/ouUTOa7QJR #whistleblowers #SEC #securitiesexchange #finance #investmentadvisers @KLGates https://t.co/pFdQZwpvr1
A U.S. court has imposed a $209 million penalty on an Oregon man and his entities for operating a fraudulent cryptocurrency and carbon investment Ponzi scheme. The Commodity Futures Trading Commission (CFTC) recovered $18 million in stolen assets for investors. Additionally, the U.S. Securities and Exchange Commission (SEC) has charged broker-dealer Nationwide Planning and two affiliated investment advisers for impeding clients from reporting securities law violations.