U.S. Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/tag/u-s-securities-and-exchange-commission/ Canada's news source for financial professionals Fri, 24 Apr 2026 14:02:01 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png U.S. Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/tag/u-s-securities-and-exchange-commission/ 32 32 Exec of failed U.S. lender charged with fraud https://www.investmentexecutive.com/news/exec-of-failed-u-s-lender-charged-with-fraud/ Fri, 24 Apr 2026 14:02:01 +0000 https://www.investmentexecutive.com/?p=537139 Authorities allege that bridge financing firm was a Ponzi scheme

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]]> SEC secures sanctions against ‘sham’ advisors https://www.investmentexecutive.com/news/sec-secures-sanctions-against-sham-advisors/ Fri, 24 Apr 2026 13:21:44 +0000 https://www.investmentexecutive.com/?p=537110 Firms allegedly made false filings to seem legit to investors

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