SEC Charges Kimberly Sredich with Misappropriation Scheme Original Source
Category: Regulatory
We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.
CFTC Cancels April 23 Open Meeting
The Commodity Futures Trading Commission has cancelled the Open Meeting scheduled for Tuesday, April 23, 2019. The matters under consideration are being resolved through the Commission’s seriatim process. Released: 04/19/2019 Original Source
Prosper Funding LLC
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order Original Source
Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors
The Securities and Exchange Commission today announced that Prosper Funding LLC will pay a $3 million penalty for miscalculating and materially overstating annualized net returns to retail and other investors. San Francisco-based Prosper is a marketplace lender that, through its…
Harvey Paul Tabb
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions Original Source
CFTC Approves a Final Rule to Provide Exception to Annual Privacy Notice Requirement
The Commodity Futures Trading Commission (CFTC) today approved a final rule to revise a CFTC regulation that requires certain futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators, introducing brokers, major swap participants, and swap dealers…
Agencies seek comment on revisions to the supplementary leverage ratio as required by Economic Growth, Regulatory Relief, and Consumer Protection Act
Agencies seek comment on revisions to the supplementary leverage ratio as required by Economic Growth, Regulatory Relief, and Consumer Protection Act Original Source
Motty Mizrahi et al.
SEC Obtains Preliminary Injunction Against Fraudulent Investment Adviser Who Targeted Members of the Israeli-American Community Original Source
Federal Reserve Board announces termination of enforcement action with BB&T Corporation
Federal Reserve Board announces termination of enforcement action with BB&T Corporation Original Source
Fifth Street Management, LLC
Order Appointing Fund Administrator and Setting Administrator Bond Amount Original Source
Yuh-Yue Chen
SEC Charges Southern California Engineer with Insider Trading Original Source
Green Innovations Ltd.
Notice That Initial Decision Has Become Final Original Source
Tintic Gold Mining Company
Notice That Initial Decision Has Become Final Original Source
China Hefeng Rescue Equipment, Inc., et al.
Notice That Initial Decision Has Become Final Original Source
BioPharma Manufacturing Solutions Inc., CLTC Ventures Corporation (n/k/a Dreamfly Productions Corporation) and Crane Global Energy Company
Notice That Initial Decision Has Become Final Original Source
Matthew R. Rossi and SJL Capital, LLC
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b)…
dELiA*S Inc. and Global Energy, Inc.
Notice That Initial Decision Has Become Final Original Source
Infinity Real Estate Holdings Corporation, et al.
Notice That Initial Decision Has Become Final Original Source
Agencies invite comment on modifications to resolution plan requirements; proposal keeps existing requirements for largest firms and reduces requirements for firms with less risk
Agencies invite comment on modifications to resolution plan requirements; proposal keeps existing requirements for largest firms and reduces requirements for firms with less risk Original Source
Quentin Louis Wilcox
SEC Charges Former Financial Manager of Phoenix Company with Insider Trading Original Source