The licence, granted by FINRA, is considered an important milestone, though there are limitations of what it can be used for.
May 30, 2023Guo Wengui and his financial adviser allegedly cheated thousands of investors since 2018 by promising outsized returns on various offerings.
March 16, 2023Singapore police confirmed "ongoing" investigations into Terraform Labs, which is also being sued by the US SEC following its collapse last May.
March 7, 2023Eight individuals are accused of engaging in a conspiracy to commit securities fraud through a social media-based “pump and dump” scheme.
December 19, 2022The SEC is expected to permit the NYSE to ease its rules for direct listings, after a similar approval was granted to Nasdaq earlier this month.
December 16, 2022US authorities have charged Sam Bankman-Fried for defrauding customers, investors, lenders, and campaign finance violations.
December 14, 2022Goldman Sachs Asset Management had policies and procedures failures involving the ESG research its investment teams used to select and monitor securities.
November 24, 2022Blockchain firm Dragonchain raised about $16.5mn without registering its token sales as securities offerings.
August 23, 2022In January 2021, TradeZero America halted trading in three meme stocks for about 10 minutes, but later told investors it had resisted instructions from its clearing broker to do so.
June 1, 2022Chinese regulators plan to allow some companies to provide some audit information to the PCAOB, and provide additional clarity on what information can and cannot be disclosed overseas.
March 17, 2022