SEC enforcement Archives - Page 2 of 2

The Numbers Didn’t Add Up: How Nicholas Bowerman Landed in the SEC’s Crosshairs

By the time U.S. regulators came knocking, the accounting problems had apparently been hiding in plain sight for years. In September 2024, the Securities and Exchange Commission filed a lawsuit against Nicholas

October 15, 2024

Finance·News

The $1.7 Million Investment Case That Changed Omar Zaki’s Career

Omar Zaki was only 21 years old when he graduated from Yale University with degrees in economics and physics. To many people, he appeared to fit the image of a brilliant young

October 8, 2024

Finance·News

AI Washing Explained. Why the SEC Penalized Delphia and Global Predictions

Artificial intelligence has become the latest selling point on Wall Street. Investment firms, startups, and financial advisers have rushed to tell clients that sophisticated algorithms and machine learning models are changing the

May 7, 2024

News

Retire Happy LLC: Understanding the SEC’s Allegations and Investor Lessons

Most people expect retirement investments to be built around caution. The promise is usually steady growth, manageable risk and careful planning for the future. That is why regulators say the scheme built

January 19, 2024

Finance·News

The Rise and Fall of Twitter Stock Promoter Steven Gallagher

Steven M. Gallagher became known on the Internet as a successful stock trader with an uncanny ability to spot winning investments before the rest of the market caught on. On Twitter, he

January 19, 2023

Finance·News

Robert W. Singerman and Turbo Global: The Claims, the Lawsuit, and the Fallout

When the COVID-19 pandemic sent fear through global markets in early 2020, dozens of little-known companies rushed to position themselves as part of the solution. Investors were desperate for good news, and

August 1, 2022

News

Fantasy Market Founder Jonathan Lucas Faced SEC Fraud Charges Over Misleading ICO

Jonathan C. Lucas was out to profit from one of the cryptocurrency boom’s hottest investment trends. In 2017, with investors flooding initial coin offerings (ICOs) with little regulatory oversight, Lucas launched a

April 8, 2021

Finance·News

SEC enforcement- Page 2

The Numbers Didn’t Add Up: How Nicholas Bowerman Landed in the SEC’s Crosshairs

The $1.7 Million Investment Case That Changed Omar Zaki’s Career

AI Washing Explained. Why the SEC Penalized Delphia and Global Predictions

Retire Happy LLC: Understanding the SEC’s Allegations and Investor Lessons

The Rise and Fall of Twitter Stock Promoter Steven Gallagher

Robert W. Singerman and Turbo Global: The Claims, the Lawsuit, and the Fallout

Fantasy Market Founder Jonathan Lucas Faced SEC Fraud Charges Over Misleading ICO