Two entities and their principals settled SEC charges for the sales of unregistered oil and gas securities and material misstatements in connection with those offerings.
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The SEC charged a California penny stock trader for engaging in a COVID-19 testing "pump and dump" scheme.
The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.
The SEC suspended trading in three companies due to concerns about the accuracy of information they provided regarding acquisitions of cryptocurrency and blockchain technology.