February 1, 2022/US SEC The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age. According to the SEC’s complaint, from December 2017 through at […]
Frauds & Scandals
SEC’s Fraud Case Against Silicon Valley-Based Headspin, Inc.’s Former CEO Is Ongoing
January 28, 2022/US SEC The Securities and Exchange Commission announced settled fraud charges without a penalty against HeadSpin, Inc., a private technology company that made significant remedial efforts in the wake of an internal investigation into misconduct by its now former CEO. The SEC’s complaint, filed in the U.S. District […]
SEC Obtains Final Judgment Against Defendants in Stock Research Scheme
January 28, 2022/US SEC On January 21, 2022, the U.S. District Court for the Southern District of New York entered a final judgment against defendants Ajay Tandon and Amit Tandon for their involvement in a stock research scheme and for illegal “scalping” in connection with that scheme. According to the […]
