Category

Shareholder & Investor Protection

SEC Charges Filed to Stop Recidivist’s Fraud Scheme

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Three-Time Recidivist Charged with Operating an Unregistered Broker-Dealer, Facilitating an Unregistered Securities Offering, and Defrauding Small Businesses On March 1, 2018, the SEC issued a litigation release regarding Securities and Exchange Commission v. Steven J. Muehler, Claudia M. Muehler, Koorosh...
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Ameriprise Financial Services, Inc. Settles SEC Charges

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Ameriprise Financial Settles Charges That It Overcharged Retirement Account Customers for Mutual Fund Shares On February 28, 2018, the Securities and Exchange Commission announced that Minnesota-based Ameriprise Financial Services, Inc., a broker-dealer and investment adviser, has agreed to settle charges...
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Alleged AriseBank Initial Coin Offering Scam Stopped

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SEC Stops AriseBank’s Allegedly Fraudulent Initial Coin Offering Targeting Retail Investors to Fund the World’s First “Decentralized Bank.” AriseBank Used Social Media and Celebrity Endorsements to Raise $600 Million of Its $1 Billion Goal in Two Months Unregistered Investments in...
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CFTC Bitcoin Fraud Enforcement Action

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Bitcoin Fraud Enforcement Action: Bitcoin & Binary Options Fraud Scheme: CFTC Charges Colorado Resident Dillon Michael Dean & The Entrepreneurs Headquarters Limited On January 19, 2018, the Commodity Futures Trading Commission (CFTC) issued a press release stating that on January 18,...
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