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.
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The SEC suspended trading in three companies due to concerns about the accuracy of information they provided regarding acquisitions of cryptocurrency and blockchain technology.
SEC Chair Jay Clayton articulated narrowly focused regulatory goals for inclusion in the federal government's Unified Agenda.
A FINRA hearing panel fined a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities on behalf of a customer.
The SEC issued a guide that warns investors against government impersonators who target prior fraud victims. The SEC issued a second guide that warns investors to be wary of false information about "microcap stocks" – low-priced stocks issued by small companies.