June 21, 2021/US SEC The Securities and Exchange Commission filed a litigated action charging Mark A. Miller, a resident of Pequot Lakes, Minnesota, with defrauding retail investors through a pump-and-dump scheme. According to the SEC’s complaint, Miller hijacked or controlled at least seven defunct public issuers between September 2017 and […]
Frauds & Scandals
SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million
June 21, 2021/US SEC The Securities and Exchange Commission today announced awards of nearly $5.3 million to whistleblowers who provided information and assistance in separate enforcement proceedings. In the first order, the SEC awarded a whistleblower nearly $4 million for providing information that caused the SEC to open an investigation […]
SEC Says MBA Capital and Trading Ltd Not Registered
June 21, 2021/SEC Nigeria The Securities and Exchange Commission has dispelled insinuations in some sections of the media that MBA Capital and Trading Ltd is a registered capital market operator with the Commission. This was contained in a statement signed by the Management of the SEC in Abuja Monday. According […]
