SEC enforcement Archives - ReportingScams.com

How Mingran Wang’s $1.3 Million Spoofing Scheme Ended in a Federal Guilty Plea

Spoofing is something most people have never heard of, but federal prosecutors say it can quietly undermine the fairness of the stock market. It’s not about hacking computers or stealing money out

June 25, 2026

Finance·News

SEC Alleges QZ Asset and CEO Blake Yeung Ran $6 Million AI-Washing and Pre-IPO Fraud Scheme

When investors hear the words “artificial intelligence,” many assume they are looking at the future. Regulators, however, are increasingly warning that AI can also be used as a marketing tool to create

June 24, 2026

Finance·News

Jeffrey Cutter Verdict Sends Warning to Financial Advisers Nationwide

Jeffrey Cutter spent years building a reputation as someone people could trust with their retirement savings. From his office in Massachusetts, he advised families, retirees, and professionals on how to invest for

March 20, 2026

Finance·News

Scott Mason Stole $23 Million From Clients Who Trusted Him Most, Federal Prosecutors Say

When Scott Jeffrey Mason’s clients handed over control of their money, they thought they were putting it in safe hands. Some had trusted him for years. Some considered him a friend. They

January 10, 2026

Finance·News

The Michael DeRosa Scandal: Inside the SEC’s $283 Million One Oak Capital Case

A lot of people assume the biggest threat to their retirement savings is a market crash. According to federal regulators, for more than 180 investors tied to One Oak Capital Management, the

November 4, 2025

Finance·News

Matthew Brown’s $200 Million Claim Under the SEC Microscope

Matthew Brown presented himself as exactly the kind of investor Virgin Orbit desperately needed. The rocket company was burning through cash, employees had been furloughed, and executives were racing against time to

April 8, 2025

Finance·News

$240K SEC Settlement Targets Nationwide Planning Over Confidentiality Agreement Abuse

The Securities and Exchange Commission’s 2024 enforcement action against Nationwide Planning Associates and its affiliated advisory firms does not resemble the typical Wall Street scandal involving insider trading or massive investor losses.

March 1, 2025

Finance·News

James Bouchard, Esmark, and the $7.8 Billion Deal That Never Had the Money

When industrial conglomerate Esmark announced in August 2023 that it intended to buy U.S. Steel for $35 per share in an all-cash deal, the news landed like a thunderclap across the steel

February 12, 2025

Finance·News

Gregoire Tournant and the Allianz Fund That Lost $7 Billion in Weeks

Grégoire Tournant did not emerge in the public imagination the way most figures in major financial scandals usually do. There were no early headlines about him, no years of regulatory scrutiny building

February 11, 2025

Finance·News

James R. Craigie SEC Case : Hidden Relationship and Boardroom Scandal

For years, the idea of an “independent director” has been sold as a safety net for investors. Someone who sits in the boardroom with no hidden loyalties, no personal ties clouding judgment.

November 11, 2024

News