Month: January 2018

SEC Charges Two Advisers With Fraud Tied to Retail Investors

The Commission filed another action centered on retail investors. In this case two employees of a well known Financial Institution took advantage of firm clients over a period of three years, defrauding them of thousands of dollars. SEC v. Polese,

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SEC Obtains Freeze Order Re First “Decentralized Bank” and its ICO

Crypto currencies and Initial Coin Offerings or ICOs continue to be one of the most sought after investments even as regulators repeatedly caution investors, investigate offerings and bring fraud actions centered on crypto currencies. The CFTC recently issued a subpoena

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