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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.
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
