This week, the SEC charged Alpha Plus Recovery and related companies with fraud. Alpha Plus is a claims aggregator that has filed claims on behalf of money management firms for numerous large legal settlement funds, including those ordered by the SEC
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SEC Actions This Week: SPACs and Scams Nov3
This week, SPACs were in the news because of volatility in Digital World Acquisition Corp. (NASDAQ: DWAC), which announced last week that it would be merging with Donald Trump’s media company, Trump Media & Technology Group
... Read more »SEC Actions This Week: Going After Corruption in Mozambique Oct22
The world’s financial markets are interconnected, so this week, a Swiss investment bank was sanctioned in Washington and London for its activities in Mozambique. Here’s what happened
... Read more »SEC Actions This Week: Desk Time Oct15
After bursts of activity, we all need desk time in our schedules to go through email, catch up on errands, and figure out what to do next. That seems to be exactly what happened at the SEC this week
... Read more »SEC Actions This Week: Drug Deals Gone Bad Oct8
When cannabis was illegal everywhere, the people who ran cannabis businesses were criminals—by definition. Now that it is legal in more and more places, some of those involved in the business are sticking to criminal ways
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