Visiting attorney at the Washington, D.C. office of law firm used access to confidential client info to make illegal profits August 23, 2023/US SEC The Securities and Exchange Commission today announced insider trading charges against Romero Cabral da Costa Neto for trading based on material, nonpublic information concerning a client […]
Frauds & Scandals
SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations
These charges mark the first violation of the SEC’s amended marketing rule August 21, 2023/US SEC The Securities and Exchange Commission today announced charges against Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, for using hypothetical performance metrics in advertisements that were misleading. The SEC also […]
SEC Obtains Emergency Relief, Charges Recidivist in Offering Fraud
August 18, 2023/US SEC The Securities and Exchange Commission today announced that it filed an emergency action and obtained a temporary restraining order and asset freezes to stop an offering fraud allegedly perpetrated by Florida company PreIPO Corp., Boca Raton resident and serial recidivist, John A. Mattera, and West Palm […]
