Category: Regulatory
We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.
Renew Forestry Group, LLC et al.
SEC Charges Managing Member of Timber Company with Offering Fraud Original Source
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
Federal Reserve Board issues enforcement actions with former employee of Gateway Bank and former employee of SunTrust Bank
Federal Reserve Board issues enforcement actions with former employee of Gateway Bank and former employee of SunTrust Bank Original Source
EarthSource Minerals International, LLC et al.
SEC Charges Mining Company Founders and Executive with Fraud Original Source
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
Michael J. Starkweather and Andiamo Corporation
Final Judgment Entered Against Microcap CEO for Fraudulent Press Release and Kickback Scheme Original Source
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
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…
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
Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron
SEC Obtains Final Judgment Against Previously-Barred Broker and Affiliated Firm Original Source
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
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
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
Agencies issue Shared National Credit Review
Agencies issue Shared National Credit Review Original Source
Glen A. Stewart
SEC Charges Individual for Engaging in IIIegal Unregistered Offering Original Source
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
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
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
