The Securities and Exchange Commission today announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered… Read More
Related Posts
SEC Charges Five Investment Advisers for Marketing Rule Violations
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle… BronSEC Charges Five Investment Advisers for Marketing Rule Violations
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain… BronSEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading
The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista… BronSEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading