Category: Regulatory

Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions Original Source

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

The Securities and Exchange Commission today charged California-based Wells Fargo & Co. for misleading investors about the success of its core business strategy at a time when it was opening fake accounts for unknowing customers and selling… Original Source

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Federal banking agencies host the 2020 National Interagency Community Reinvestment Conference Original Source

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 and Notice of Hearing Original Source

CHICAGO – February 21, 2020 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, announced today that Ed Tilly, Chairman, President and Chief Executive Officer, and Brian Schell, Executive Vice President, Chief Financial Officer…

SEC Obtains Judgments Against Market Manipulators Original Source

SEC Obtains Partial Summary Judgment Against Investment Adviser and Principal for False and Misleading Marketing of Investment Strategies Original Source

SEC Obtains Final Judgment Against Unregistered Broker Original Source

SEC Obtains Final Judgment Against Former Research Analyst Who Tipped Hedge Fund Portfolio Manager Original Source

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SEC Charges Former Legal Department Employee and His Father with Insider Trading Original Source

Order Approving Plan of Distribution Original Source

CHICAGO – February 20, 2020 — Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, and Wilshire Analytics, the investment technology group of Wilshire Associates Incorporated (Wilshire®), a leading global financial services firm, today released…

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SEC Halts Alleged Ongoing Offering Fraud Original Source

Minutes of the Federal Open Market Committee, January 28-29, 2020 Original Source

The Securities and Exchange Commission today announced settled charges against blockchain technology startup Enigma MPC for conducting an unregistered offering of securities in the form of an initial coin offering (ICO). Enigma, based in San Francisco… Original Source

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