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Top News In Complex Financial Instruments Today - Breaking & Trending Today

Former SEC Commissioner Allison Herren Lee Joins Leading Whistleblower Law Firm - Vimarsana News

Former SEC Commissioner Allison Herren Lee Joins Leading Whistleblower Law Firm

/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....

SEC: Angel Oak Capital Advisors Misled Investors - Vimarsana News

SEC: Angel Oak Capital Advisors Misled Investors

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.

UBS to Pay $25m to Settle SEC Fraud Charges - Traders Magazine - Vimarsana News

UBS to Pay $25m to Settle SEC Fraud Charges - Traders Magazine

The charges are related to complex Options Trading Strategy.

Delaware advisor & employees guilty of multi-billion-dollar fraud - Vimarsana News

Delaware advisor & employees guilty of multi-billion-dollar fraud

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

SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme - Vimarsana News

SEC Charges Archegos and its Founder with Massive Market Manipulation Scheme

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.