January 2, 2025/US SEC The Securities and Exchange Commission announced today that on December 30, 2024, the U.S. District Court for the Southern District of New York entered a consent judgment against Theodore J. Farnsworth for defrauding investors in Vinco Ventures, Inc., a purported digital media and content technologies company. […]
Frauds & Scandals
SEC Charges Connecticut Investment Adviser and its Principal for Improperly Withholding Investor Funds, Charging Excessive Fees, and Misleading Investors
December 23, 2024/US SEC The Securities and Exchange Commission today filed charges against Connecticut-based Dolphin Associates III, LLC, and its principal, Donald T. Netter. The SEC’s complaint alleges that Dolphin and Netter with improperly withholding withdrawals from a private fund (the “Fund”) that they managed, charging the Fund with excessive […]
SEC Charges Utility Company Entergy Corp. with Internal Accounting Controls Violations
Company agrees to pay $12 million in penalties and adopt independent consultant’s recommended improvements December 20, 2024/US SEC The Securities and Exchange Commission today announced that Entergy Corporation, a Louisiana-based utility company, agreed to pay a $12 million civil penalty to settle charges that it failed to maintain internal accounting […]
