Complex Financial Instruments News Today

Washington D.C. -- The Securities and Exchange Commission today announced fraud charges against Brooge Energy Limited, a publicly-traded energy company located in the United Arab Emirates, the...

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The SEC announced the first violations of its amended ad rule; Titan Global Capital Management settled allegations related to its crypto strategy marketing.

/PRNewswire/ -- Persefoni, a leading Climate Management & Accounting Platform (CMAP) for enterprises and financial institutions, today announced former U.S....

Persefoni, a leading Climate Management & Accounting Platform for enterprises and financial institutions, announced former U.S. Securities and Exchange Commission Acting Chair and Commissioner Allison Herren Lee has joined its Sustainability Advisory Board.

/PRNewswire/ -- Kohn, Kohn & Colapinto (KKC) is proud to announce that Allison Herren Lee is joining the firm as of Counsel. Lee was nominated to the U.S....

The Securities and Exchange Commission today charged Atlanta-based Angel Oak Capital Advisors LLC and its portfolio manager Ashish Negandhi with misleading investors about the firm’s fix-and-flip loan securitization’s delinquency rates.  Angel Oak and Negandhi have agreed to settle charges and pay a penalty of $1.75 million and $75,000, respectively, the SEC said.

The charges are related to complex Options Trading Strategy.

The United States Securities and Exchange Commission (SEC) reported this week that Florida and New Jersey residents working for a Delaware investment advisor misled investors in a multi-billion-dollar fraud scheme, while pocketing $550 million in fee

The Securities and Exchange Commission today charged Sung Kook (Bill) Hwang, the owner of family office Archegos Capital Management, LP (Archegos), with orchestrating a fraudulent scheme that resulted in billions of dollars in losses.