December 19, 2022/US SEC The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower whose information led to a successful SEC enforcement action and a related action. The whistleblower was the initial source of the company’s internal investigation, as well as the source […]
Frauds & Scandals
SEC Proposes Regulation Best Execution
December 14, 2022/US SEC The Securities and Exchange Commission today proposed Regulation Best Execution, which would establish through Commission rules a best execution regulatory framework for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers. While a best execution rule was first established in 1968 by the […]
SEC Charges Four Individuals in Crypto Pyramid Scheme that Targeted Spanish-Speaking Communities
Forcount Trader Systems’ creator and promoters orchestrated $8.4 million fraud December 14, 2022/US SEC The Securities and Exchange Commission today charged Francisley Valdevino Da Silva, Juan Antonio Tacuri Fajardo, Ramon Antonio Perez Arias, and Jose Ramiro Coronado Reyes for their roles in creating and promoting Forcount Trader Systems, Inc., a […]
