Tag: SEC
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SEC Imposes Sanctions on Global Predictions Inc. for Violations of Advisers Act
The Securities and Exchange Commission (SEC) has ordered Global Predictions Inc., a digital investment adviser, to cease and desist from committing violations of the Investment Advisers Act of 1940. The…
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SEC Orders UBS Financial Services Inc. to Transfer Remaining Funds and Terminates Fair Fund
The Securities and Exchange Commission (SEC) has issued an order authorizing UBS Financial Services Inc. to transfer the remaining funds of $20,487.50, which are infeasible to return to investors, to…
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SEC Hits Christian Fernandez with Cease-and-Desist for Deceptive Practice
The Securities and Exchange Commission (SEC) has initiated cease-and-desist proceedings against Christian Fernandez, also known as Christian Crockwell, for his involvement in a scheme to deceive investors. The scheme involved…
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