August 30, 2021/US SEC The Securities and Exchange Commission announced that it obtained an asset freeze and filed fraud charges against a Dallas, Texas investment professional for engaging in an alleged deceptive trading scheme in which he stole hundreds of thousands of dollars from a family fund whose money he […]
Frauds & Scandals
California-Based Watch Dealer Charged in Insider Trading Scheme
August 30, 2021/US SEC The Securities and Exchange Commission announces insider trading charges against Robert J. Maron of Thousand Oaks, California, who generated more than $1 million in profits by trading in the securities of Illumina, Inc. ahead of an October 10, 2016 Illumina financial performance announcement. The SEC’s amended […]
SEC Announces Three Actions Charging Deficient Cybersecurity Procedures
August 30, 2021/US SEC The Securities and Exchange Commission today sanctioned eight firms in three actions for failures in their cybersecurity policies and procedures that resulted in email account takeovers exposing the personal information of thousands of customers and clients at each firm. The eight firms, which have agreed to […]
