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Venture Capital › Securities and Exchange Commission (SEC) › Securities Fraud

DLA Piper

DOJ and SEC Send Warning on “AI Washing” with Charges Against Technology Startup Founder

DLA Piper on

The US Department of Justice (DOJ) announced a criminal indictment and the Securities and Exchange Commission (SEC) announced a civil complaint against the founder and former CEO of an e-commerce technology startup. DOJ and...more

BakerHostetler

Weekly Blockchain Blog - August 2024 #3

BakerHostetler on

Crypto Firms Announce New Products in Payments, Investments, Custody - A major U.S. digital asset management company recently announced the creation and public launch of its MakerDAO Trust, which “offers investors the...more

Carlton Fields

Recovery by ICO Token Investors May Be Challenged in Bankruptcy

Carlton Fields on

Bankruptcy courts may provide relief to debtors by discharging pre-petition obligations to repay existing debts owed to creditors, and claims by equity holders. Creditors who hold debt and investors who hold equity interests,...more

Proskauer - The Capital Commitment

Fraud Claims Against Startup Founder Involving Secondary Market Sales Demonstrate SEC Focus on Privately-Held Companies

Proskauer - The Capital Commitment on

Last week the SEC announced a settlement of fraud claims against the founder of Jumio, Inc, a private mobile payments company, for misstating the company’s financial results and using those financials to sell his company...more

Robins Kaplan LLP

Your daily dose of financial news The Brief – 5.20.16

Robins Kaplan LLP on

Manhattan USA Preet Bharara’s back in front of the cameras and back on the insider-trading horse with the announcement yesterday of criminal charges against well-known sports bettor Billy Walters and former investment banker...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - The EB-5 Immigrant Investor Program has Provided a Breeding Ground for Securities Fraud - Back in 1990, Congress created the United States Citizenship and Immigration Services (USCIS) EB-5...more

Dorsey & Whitney LLP

SEC Files Action Based on Misappropriation of Pre-IPO Shares

Dorsey & Whitney LLP on

The SEC filed a fraud action based on the misappropriation of shares of a private firm held by investors through an LLC. The shares were then resold and reissued to other investors. SEC v. Kumar, Civil Action No. 23145 (N.D....more

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