Growth Capitalist (https://growthcapitalist.com/tag/enforcement/page/20/)
Early this year, the Securities Exchange Commission (SEC) resolved an enforcement action against the former CFOs of a Silicon Valley tech firm, requiring them to pay back about $500,000 in bonuses and stock sale profits.
The Securities and Exchange Commission has released its financial choke-hold on a foreign broker-dealer it accused of being involved in multiple penny stock schemes.
Octagon Capital Partners principal Steven Hart lied to regulators and impersonated his superior at a separate investment firm in order to avoid revealing an investigation of his trading activities, federal prosecutors allege.
The Securities and Exchange Commission has accused a $600 million Cayman Islands bank of being involved in helping four emerging growth companies in a pump and dump stock scam.
