SEC Charges Adviser Cary Urich After 54 Clients Lose 70 Percent in Leveraged ETFs
The Securities and Exchange Commission charged Greenville, South Carolina investment adviser Cary Urich with breaching his fiduciary duty to 54 mostly elderly clients. The clients ...
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SEC Charges BG Wealth Sharing and DSJ Exchange in $130 Million Crypto Fraud Scheme
The Securities and Exchange Commission charged BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd on October 29 with raising more than $130 million from ...
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The 99% vs. 25% Communication Gap That Derails Transformations
The most expensive mistake in organizational transformation is not the technology choice or the budget estimate. It is the assumption that employees understand what is ...
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SEC charges BG Wealth Sharing and DSJ Exchange in 130 million dollar crypto fraud
The Securities and Exchange Commission charged BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd on October 29, 2026, with a fraud scheme that raised ...
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SEC charges SQN Capital CEO Jeremiah Silkowski as receiver takes over funds
The Securities and Exchange Commission settled charges with New York investment adviser SQN Capital Management LLC and its chief executive Jeremiah Silkowski, a case the ...
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SEC fines Zoe Financial 450,000 dollars over undisclosed adviser referral conflicts
The Securities and Exchange Commission has fined Zoe Financial Inc. $450,000 for failing to disclose conflicts of interest in its adviser referral service. The settled ...
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