Month: July 2017

SEC Charges Cancer Fighting – Now Restaurant Firms With Fraud

The Commission filed another in what has become a stream of offering fraud actions. This case sought to halt an offering – the last investor funds were deposited June 30, 2017 — in which investors were promised their funds would

SEC Settles Another AML Action

The Commission has increasingly focused on anti-money laundering compliance and the filing of SARs. See, e.g., SEC v. Alpine Securities Corp., No. 1:17-cv-04179 (S.D.N.Y. Filed June 5, 2017). Earlier this year the agency filed an administrative proceeding against a broker

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