Yinghang “James” Yang and Yuanbiao Chen
SEC Obtains Final Judgments Against Index Manager and Friend for Insider Trading
William Sadleir
SEC Obtains Final Judgment Against Former Owner of California Film Distribution Company Charged with Defrauding Publicly Traded Fund
Blackboxes Within Blackboxes: Cryptocurrency In Your State Pension
The recent collapse of cryptocurrency has exposed dangers related to these blackbox investments. Growing secrecy at America's public pensions has turned these retirement plans into blackboxes themselves. No one knows for certain how much blackbox cryptocurrency lurks in blackbox public pensions.
James K. Couture
Order Instituting Administrative Proceedings Pursuant To Section 15(B) Of The Securities Exchange Act Of 1934 And Section 203(F) Of The Investment Advisers Act Of 1940, Making Findings, And Imposing Remedial Sanctions
Goldman Sachs Asset Management, L.P.
Order Instituting Administrative And Cease-and-Desist Proceedings, Pursuant To Sections 203(E) And 203(K) Of The Investment Advisers Act Of 1940, Making Findings, And Imposing Remedial Sanctions And A Cease-and-Desist Order
Securities America Advisors, Inc.
Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
Legal & General Investment Management America, Inc.
Order Instituting Administrative And Cease-and-Desist Proceedings, Pursuant To Sections 203(E) And 203(K) Of The Investment Advisers Act Of 1940 And Sections 9(B) And 9(F) Of The Investment Company Act Of 1940, Making Findings, And Imposing Remedial Sanctions And A Cease-and-Desist Order
Ruben James Rojas
Former Montebello Unified School District Official Agrees to Pay $50,000 and Admit Wrongdoing in Connection with $100 Million Bond Offering
Daniel Moser
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions