Posts from September 2019.
SEC Charges Investment Bank Junior Analyst with Insider Trading

The Securities and Exchange Commission (“SEC”) charged 23-year-old junior analyst Bill Tsai at an international investment bank with insider trading.

SEC Files Charges in Fraudulent Token Manipulation Scheme

The Securities and Exchange Commission (“SEC”) filed charges against Reginald “Reggie” Middleton and two entities he owns for allegedly committing a fraudulent digital token sale scheme.

OCIE Risk Alert: Guidance for Compliance, Supervisory and Disclosure Procedures

The Office of Compliance Inspections and Examinations (OCIE) released a risk alert outlining findings of examinations it conducted as part of its Supervision Initiative...

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