January 11, 2021/US SEC The Securities and Exchange Commission has obtained an emergency court order freezing assets of a San Juan Capistrano, California-based company and its founder, who allegedly were carrying out an ongoing investment fraud. According to the SEC’s complaint, filed on December 21, 2020 in the U.S. District […]
Frauds & Scandals
SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries
January 8, 2021/US SEC The Securities and Exchange Commission today announced charges against Deutsche Bank AG for violations of the Foreign Corrupt Practices Act (FCPA). As part of coordinated resolutions with the SEC and the Department of Justice, Deutsche Bank has agreed to pay more than $120 million, which includes […]
SEC charges Utah Company, its Principals, and Two Recidivists with Securities Fraud
January 8, 2021/US SEC Securities and Exchange Commission v. ConTXT, Inc, Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen, No. 2:21-cv-00013 (U.S. District Court, District of Utah) filed January 7, 2021. The Securities and Exchange Commission today announced settled charges against a Utah corporation, its […]
