Order Appointing Tax Administrator Original Source
Category: Regulatory
We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.
Daniel Markel
SEC Charges Operator of Substance Abuse Center with Securities Fraud Original Source
SEC to Report on State of Small Business Capital Formation in the U.S.
The U.S. Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will report on its findings regarding the state of capital formation for small businesses and its latest recommendations to the Commission during a… Original Source
Hill International, Inc. et al.
SEC Charges Construction Management Consulting Company and Former Employees with Accounting Fraud Original Source
SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity
The Securities and Exchange Commission today charged convicted criminal Boaz Manor, his business associate, and two businesses, CG Blockchain Inc. and BCT Inc. SEZC, with raising over $30 million from hundreds of investors in a fraudulent initial coin… Original Source
Medical Innovation Holdings, Inc.
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source
Soupman, Inc. and Trailblazer Resources, Inc.
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source
Allan L. Lundervold
SEC Charges Individual with Acting as an Unregistered Broker Original Source
Austin Gerig Named as SEC’s Chief Data Officer
The Securities and Exchange Commission today announced that it has named Austin Gerig as its Chief Data Officer. Dr. Gerig, currently Assistant Director of the Office of Data Science in the Division of Economic and Risk Analysis (DERA), will assume…
Drake et al., Messier et al., Brooks
SEC Charges Eight Unregistered Brokers for Their Participation in Fraudulent Offerings of Microcap Securities Original Source
Chad Starkey
Order Concerning Civil Penalty and Terminating Cease-and-Desist Proceedings Original Source
Genoil Inc. and SAMEX Mining Corp.
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source
Great Basin Scientific, Inc.
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source
Jeffrey Wada, CPA
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice Original Source
Jonathan Morrone
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing Original Source
Paul Jurberg
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing Original Source
Anthony Orth
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions Original Source
Brett Hamburger
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing Original Source
Todays Growth Consultant Inc. and Kenneth D. Courtright, III
SEC Obtains Emergency Asset Freeze, Charges Businessman with Operating a Ponzi-Like Scheme Original Source
Gregory L. Kelly, 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