Category Archives: Investor

SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX


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SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX
The Securities and Exchange Commission today charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for his role in a multiyear scheme to defraud equity investors in FTX, the crypto trading platform started by Singh along with…

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SEC Charges Rio Tinto plc with Bribery Controls Failures


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SEC Charges Rio Tinto plc with Bribery Controls Failures
The Securities and Exchange Commission today announced charges against global mining and metals company, Rio Tinto plc, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme involving a consultant in Guinea. The…

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SEC Updates List of Firms Using Inaccurate Information to Solicit Investors


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SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 96 soliciting entities, three impersonators of genuine firms, and…

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Aston Martin Losses Mount, But Investor Hopes Are In The Fast Lane


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Aston Martin Losses Mount, But Investor Hopes Are In The Fast Lane
Financially troubled luxury sports car maker Aston Martin more than doubled its losses last year after another call on investors for cash, but analysts see signs of progress. The shares have rallied 135% from a low of 89 pence in November. The rally continued this week closing in on 295 pence.
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SEC Files Emergency Action Against Miami Investment Adviser BKCoin and Principal Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme


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SEC Files Emergency Action Against Miami Investment Adviser BKCoin and Principal Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme
The Securities and Exchange Commission today announced that it filed an emergency action in which it successfully obtained an asset freeze, appointment of a receiver, and other emergency relief against Miami-based investment adviser BKCoin Management LLC…

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SEC Charges Ontrak Chairman Terren Peizer with Insider Trading


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SEC Charges Ontrak Chairman Terren Peizer with Insider Trading
The Securities and Exchange Commission today charged Terren S. Peizer, Executive Chairman of the Santa Monica, California-based healthcare treatment company Ontrak Inc., with insider trading for selling more than $20 million of Ontrak stock between May…

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SEC Charges Global Transportation Company Greenbrier and Former CEO for Failing to Disclose Perks and Payments


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SEC Charges Global Transportation Company Greenbrier and Former CEO for Failing to Disclose Perks and Payments
The Securities and Exchange Commission today announced settled charges against Oregon-based freight transportation supply company, The Greenbrier Companies Inc., and its founder and former CEO and Chairman, William A. Furman, for failing to disclose…

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SEC Charges Silver Edge Financial and Equity Acquisition Company with Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds


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SEC Charges Silver Edge Financial and Equity Acquisition Company with Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds
The Securities and Exchange Commission today charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), the owners of both companies, and sales staff of Silver Edge Financial with unregistered broker-dealer activity relating to their sales…

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