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US regulator accuses Malta-based firm of $75 million racket

A Malta-based advisory firm has been charged along with its owners with defrauding clients out of more than $75 million, a US financial watchdog announced on Tu ....

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Angel Oak Capital fined for misleading investors

The company and its portfolio manager Ashish Negandhi, who was also penalized, allegedly misinformed investors about delinquency rates in a 2018 fix-and-flip securitization. ....

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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. ....

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

The charges are related to complex Options Trading Strategy. ....

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SEC fines UBS Financial Services over fraud charges

In the US, UBS Financial Services has agreed to pay US$25 million to settle fraud charges related to a complex options trading strategy it sold to investors without adequately educating their financial advisers on the product s risks. ....

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