Category: SECActions

Commission Files Two Unregistered Broker Cases

The Commission ended last week with the filing of a case against an issuer in the plant extract business and its controlling shareholder centered on the sale of unregistered shares to three individuals and errors in company filings about the

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SEC Charges Company, CEO With Illegal Stock Sales to Three Investors

Companies that put “blockchain” or a similar word in their name often attract significant attention from the investing public as well as regulators. The phenomenon is so well established that Chairman Clayton included a warning to firms that add such

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