Date Title December 9, 2021 SEC Charges Santa Monica-Based Tech Company Employee and His Brother-in-Law with Insider Trading November 18, 2021 SEC charges California-based promotor with conducting cryptocurrency investment scams October 29, 2021 SEC charges Newport Beach company and its principals with operating a $13.5 million Ponzi-like scheme October 6, 2021 SEC obtains emergency relief freezing assets of a Ladera Ranch-based individual and halting an alleged ongoing investment advisory fraud October 1, 2021 SEC charges Laguna Niguel-based investment adviser, affiliated broker-dealer, and their president for false and misleading statements and omissions
