June 1, 2018/US SEC The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. According to the SEC’s orders, the advisers failed to file annual reports on Form PF informing the agency about […]
Frauds & Scandals
SEC Alert Investors on Activities of Illegal Operators, Ponzi Scheme Promoters
June 1, 2018 By InvestAdvocate Lagos (INVESTADVOCATE)-The Securities and Exchange Commission (SEC) on Friday warned and alerted the investing public on the activities of illegal operators and promoters of ponzi and other fraudulent schemes. “The general public is hereby once again advised to beware of illegal operators and promoters of […]
SEC Charges Investment Banker in Insider Trading Scheme
May 31, 2018/US SEC The Securities and Exchange Commission today charged an employee of a prominent investment bank with repeatedly using his access to highly confidential information in order to place illicit and profitable trades in advance of deals on which the bank was providing investment banking advisory services. According […]
