June 18, 2019/US SEC The Securities and Exchange Commission announced settled insider trading charges against Raymond Starker for selling shares of Energy Focus, Inc. while allegedly in possession of material, nonpublic information about a planned secondary offering of Energy Focus securities. The SEC’s complaint, filed in the U.S. District Court […]

June 18, 2019/US SEC The Securities and Exchange Commission today announced that Wedbush Securities Inc. will pay more than $8.1 million to settle charges for improper handling of “pre-released” American Depositary Receipts (ADRs). This is the SEC’s 11th action against a bank or broker resulting from the SEC’s ongoing investigation into abusive ADR […]

June 18, 2019/NSE On Sunday, June 9, 2019 the Securities & Exchange Commission (SEC) via a press statement published on its website indicated that “Oando PLC was given sufficient opportunity of being heard and accorded several opportunities to rebut the issues revealed by the investigation.” The Commission goes on to […]