July 19, 2024/US SEC Yesterday, the Securities and Exchange Commission charged Broward County, Florida residents Ricardi Celicourt and Brisly Guillaume with violations of the securities registration and broker-dealer registration provisions of the federal securities laws in connection with their participation in an unregistered securities offering by Royal Bengal Logistics Inc., […]
Frauds & Scandals
SEC Launches Interagency Securities Council to Coordinate Enforcement Efforts Across Federal, State, and Local Agencies
July 19, 2024/US SEC The Securities and Exchange Commission’s Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, and local regulatory and law enforcement professionals to meet quarterly to discuss the latest in scams, trends, frauds, and mitigation strategies. The ISC’s objective is to […]
SEC Awards More Than $37 Million to a Whistleblower
July17, 2024/US SEC The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower who provided information not previously known to the SEC and which significantly contributed to a successful enforcement action. The whistleblower also met with Enforcement staff and identified potential witnesses and […]
