A blockchain services company settled charges in connection with the distribution of an unregistered initial coin offering.
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A brand-management company and its former CFO settled SEC charges for generating fictitious revenue to outperform Wall Street analysts' consensus estimates in the second and third quarters of 2014.
A broker-dealer agreed to settle state charges concerning supervisory deficiencies that resulted in the sale of unregistered, non-exempt securities to customers.
A merchant cash advance company settled SEC charges for misleading investors in the securitization of a revolving pool of outstanding business loans.
A California app developer and its Philippines-based affiliate settled SEC and CFTC charges for improper sales of security-based swaps.