May 17, 2021/U SEC The Securities and Exchange Commission today announced whistleblower awards to four individuals totaling more than $31 million. In the first order, the SEC awarded almost $27 million to two claimants who provided SEC staff with new information and assistance during an existing investigation, including meeting with […]
Frauds & Scandals
SEC Charges Additional Unregistered Broker Who Sold $10.8 Million in 1 Global Securities to Investors
May 17, 2021/US SEC The Securities and Exchange Commission today announced charges against an additional individual in connection with its ongoing investigation related to 1 Global Capital, LLC, a South Florida merchant cash advance company. The SEC previously charged 1 Global, its owner, and others with operating a fraudulent scheme […]
SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index
May 17, 2021/US SEC The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volatility-related indices, which led S&P DJI to publish and disseminate stale index values during a period of […]
