June 30, 2021/US SEC The Securities and Exchange Commission today announced charges against Matthew J. Skinner of Santa Clarita, California, and five entities he owns and controls – Empire West Equity Inc., Bayside Equity LP, Longacre Estates LP, Freedom Equity Fund LLC, and Simple Growth LLC – for conducting four […]
Frauds & Scandals
SEC Charges Electronic Trading Platform for Operating As An Unregistered Broker-Dealer
June 29, 2021/US SEC The Securities and Exchange Commission today announced that Neovest Inc., a provider of an order and execution management system (OEMS) that facilitates electronic trading, has agreed to pay a $2.75 million penalty for its failure to register as a broker-dealer in violation of the federal securities […]
Six Charged in Silicon Valley Insider Trading Ring
June 25, 2021/US SEC The Securities and Exchange Commission filed insider trading charges on June 15, 2021, against a Silicon Valley trading ring, whose members generated nearly $1.7 million in profits and losses avoided by trading on the confidential earnings information of two local technology companies. According to the SEC’s […]
