Category: Regulatory

We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.

David N. Osegueda, et al.

Court Enters Judgments Against Promoters in Pump-And-Dump Scheme Original Source

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Apotheca Biosciences, Inc.

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source

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BioHemp International, Inc.

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source

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SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR

The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR). With today’s registration of DTCC Data Repository (U.S.), LLC (DDR), the security-based swap market now… Original Source

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Corbyn W. Jones, Esq.

Order Instituting Administrative Proceedings Pursuant to Rule Corbyn W. Jones, Esq., Practice, Making Findings, and Imposing Remedial Sanctions Original Source

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Mancera, et al.

Order Appointing Tax Administrator Original Source

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Clontech Laboratories, Inc. n/k/a Takara Bio USA, Inc.

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source

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Register for the SEC's 40th Annual Small Business Forum, Featuring Inclusive Conversations on Capital Formation from Startup to Small Cap

The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 40th Annual Government-Business Forum on Small Business Capital Formation virtually from May 24-27, 2021.  Each of the four… Original Source

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Seth P. Levine, Esq.

Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions Original Source

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Hai Khoa Dang

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing Original Source

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Maxwell Drever

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Original Source

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Bradley J. Tennison

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions Original Source

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SEC Charges Under Armour Inc. With Disclosure Failures

The Securities and Exchange Commission today charged sports apparel manufacturer Under Armour Inc. with misleading investors as to the bases of its revenue growth and failing to disclose known uncertainties concerning its future revenue prospects.… Original Source

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Under Armour, Inc.

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order Original Source

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Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis

The Securities and Exchange Commission today announced that Jessica Wachter has been appointed Chief Economist and Director of the Division of Economic and Risk Analysis (DERA). Wachter joins the SEC from the Wharton School, University of Pennsylvania,… Original Source

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Richard Randall

SEC Charges Texan with Defrauding Investors in a Purported Wireless Energy Project Original Source

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