Search
Close this search box.

Home of the best experts

Tag: SEC

Derivatives
Investments & markets
UBS got flack for recommending VIX ETFs to its clients. This suitability case has in fact deep roots in a significant ETF classification challenge: many product...
Investments & markets
News
The Momentus / Stable Road merger is the epitome of what can go wrong with SPACs. It is a story of dreams, greed, and lies. The...
News
Regulation, enforcement & litigation
Guggenheim had restrictive language against whistleblowing in its compliance manual. The SEC reviewed the manual and fined the firm $209,000 - before any whistleblower was silenced. The...
News
Regulation, enforcement & litigation
FINRA slapped its largest penalty eve, $70m, to Robinhood for numerous and shocking failings. That fine will raise the firm's IPO price....
Crypto
News
The Rosen Law Firm has filed the first NFT class action, which accuses Dapper Labs and the NBA of selling $500m of unregistered securities to US...
Derivatives
News
The SEC has hit yet another nail in the binary option coffin, and what a big nail that is. SpotOption was the industrial-size engine behind this...
News
Regulation, enforcement & litigation
Guy Gentile is a principal with a checkered past: pump-and-dump, lack of registration, soliciting US customers from the Bahamas... He's not hiding that he went rogue....
Crypto
News
The SEC and the NY AG are suing CoinSeed for lack of registrations and multiple other counts. That's a cold shower for the crypto industry. Spoiler...
Derivatives
News
Infinity Q may be the new variance swap skeleton. The New York hedge fund has just been suspended by the SEC pending valuation of its variance...