SEC Sues 38 Entities over Fake Adviser Filings

SEC sues 38 entities over fake adviser filings

The SEC sued 38 entities accused of using false adviser filings, nonexistent auditors and fake certificates to appear legitimate to investors.

SEC Charges 38 Investment Advisor Firms With Bogus Filings

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SEC Charges 38 Alleged Scammers of Fake Filings

The SEC worked with an FBI task force to identify and remove filings of 38 foreign “entities” allegedly posing as legitimate advisory firms.

SEC Charges 38 Entities In Widespread Fake Adviser Filings Scheme

The U.S. Securities and Exchange Commission has sued 38 entities over alleged fake adviser filings, aimed at luring retail investors with false legitimacy an...

SEC Charges 38 Entities Over False Filings Targeting Retail Investors

The SEC has named 38 entities over false filings and misleading information used to solicit retail investors, adding fresh weight to the regulator's long-running fight against disclosure-based deception.

SEC Charges 38 Firms Over Alleged False Filings

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