Category: Regulatory

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

General Electric Company

Extension Order Original Source

Continue Reading General Electric Company

Renew Forestry Group, LLC et al.

SEC Charges Managing Member of Timber Company with Offering Fraud Original Source

Continue Reading Renew Forestry Group, LLC et al.

Gregory Moats Sampson

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

Continue Reading Gregory Moats Sampson

EarthSource Minerals International, LLC et al.

SEC Charges Mining Company Founders and Executive with Fraud Original Source

Continue Reading EarthSource Minerals International, LLC et al.

SEC Charges Seven Individuals for $45 Million Fraudulent Scheme

The Securities and Exchange Commission today charged seven individuals and a technology company in connection with a fraudulent scheme to gain control of Airborne Wireless Network, promote its stock, and defraud investors. According to the SEC’s… Original Source

Continue Reading SEC Charges Seven Individuals for $45 Million Fraudulent Scheme

Michael J. Starkweather and Andiamo Corporation

Final Judgment Entered Against Microcap CEO for Fraudulent Press Release and Kickback Scheme Original Source

Continue Reading Michael J. Starkweather and Andiamo Corporation

SEC Awards Over $500,000 to Two Whistleblowers

The Securities and Exchange Commission today announced an award of over $500,000 to two whistleblowers whose tips revealed an ongoing fraud and resulted in multiple SEC actions and a related action from another government agency.  Both… Original Source

Continue Reading SEC Awards Over $500,000 to Two Whistleblowers

Fee Rate Advisory #3 for Fiscal Year 2021

Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2021 is not required. These adjustments do not directly affect the amount…

Continue Reading Fee Rate Advisory #3 for Fiscal Year 2021

SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity

As part of its continuing effort to respond to potential attempts to exploit investors during the recent market volatility, the Securities and Exchange Commission today suspended trading in the securities of 15 companies because of questionable trading… Original Source

Continue Reading SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity

Bolton Securities Corporation d/b/a Bolton Global Asset Management

SEC Obtains Final Judgment Against Investment Adviser Charged with Failing to Disclose Conflicts Original Source

Continue Reading Bolton Securities Corporation d/b/a Bolton Global Asset Management

SEC Issues Whistleblower Awards Totaling Over $1.7 Million

The Securities and Exchange Commission today announced awards totaling more than $1.7 million to two whistleblowers in separate proceedings.  Both whistleblowers provided Forms TCR to the Commission within 30 days of their first learning of the Form… Original Source

Continue Reading SEC Issues Whistleblower Awards Totaling Over $1.7 Million

Allan L. Lundervold

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

Continue Reading Allan L. Lundervold

Agencies issue Shared National Credit Review

Agencies issue Shared National Credit Review Original Source

Continue Reading Agencies issue Shared National Credit Review

Glen A. Stewart

SEC Charges Individual for Engaging in IIIegal Unregistered Offering Original Source

Continue Reading Glen A. Stewart

Craig A. Zabala

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

Continue Reading Craig A. Zabala

SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks

The Securities and Exchange Commission today announced settled charges against an Oklahoma-based gas exploration and production company, Gulfport Energy Corporation, and its former CEO, Michael G. Moore, for failing to properly disclose as compensation… Original Source

Continue Reading SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks

Gulfport Energy Corporation

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

Continue Reading Gulfport Energy Corporation