InfoBytes

Archive: Securities

• SEC bans two individuals from whistleblower program

  October 1, 2021

• SEC charges Florida payday lender with making fraudulent misrepresentations in offering

  October 1, 2021

• CFTC announces more than $2.5 million in fines for swap data reporting violations

  October 1, 2021

• SEC claims principals misled investors about subprime auto loans

  October 1, 2021

• SEC awards $36 million to whistleblower

  September 27, 2021

• Massachusetts securities division settles with broker dealer

  September 24, 2021

• SEC sues company for misleading investors

  September 24, 2021

• SEC announces first crowdfunding enforcement action

  September 24, 2021

• SEC issues whistleblower awards totaling $11.5 million

  September 24, 2021

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