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“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
Cipher Technologies ($28M in AUM) in Greenwich, Conn., keeps pitching to the SEC its idea to start a closed-end bitcoin fund but once again the ...
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...
Don’t forget your anti-money laundering obligations under the Bank Secrecy Act if you’re engaged in activities involving digital assets. These cautious words come from the ...
RELEASE Number 8053-19 October 16, 2019   CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme Federal Court Issues ...
From 2009 to 2017, Siva was associated with a broker-dealer and investment adviser registered with the Commission. Siva, 57 years old, is a resident of ...
The hits keep coming for blockchain companies conducting unregistered ICOs of digital tokens. Block.one, which offered and sold 900 million tokens and raised several billion ...
The count of the criminal indictment to which Jung pled guilty alleged, inter alia, that from October 2015 to October 2016, in violation of the ...
Thompson induced two customers to send roughly $7 million to fund the purchase of bitcoin after making false representations
Ignoring SEC guidance comes with its own peril. Back in July 2017, the Commission cautioned the digital assets industry that many digital assets are securities ...
The Commission’s complaint alleged that Respondent received material, nonpublic information from Defendant A, one of his brokerage clients, about three confidential potential acquisitions of publicly-traded ...
According to a Stipulation for Consent Order filed by the CDS on March 3, 2019, the CDS alleges that, between December 2017 and February 2018, ...
A Russia-based research and rating firm has been charged by the SEC with failing to disclose that it was compensated by certain worldwide issuers whose ...
A Brooklyn financial analyst is pushing back against an SEC order freezing some $8 million in assets, saying his digital blockchain isn’t subject to Commission ...
SEC Commissioner Hester Peirce would like to see “more focused momentum” at the Commission toward finalizing the regulatory regime for digital assets. In a July ...
A federal judge has frozen $8 million in assets of a self-described “financial guru” whom the SEC alleges bilked retail investors in a crypto-currency scheme. ...
SEC Wins Jury Trial Against Broker Charged with Insider Trading Litigation Release No. 24564 / August 15, 2019 Securities and Exchange Commission v. Thomas W. ...
The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the integration ...
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