Tag: Securities and Commodities Violations

No Oversight: Inside a Boom-Time Start-Up Fraud and Its Unraveling

False claims and risky trades at the Silicon Valley start-up HeadSpin were part of a pattern of trouble emerging at young companies that lacked controls.

E.V. Start-up Founder Could Get Prison Term in Fraud Case

Trevor Milton, who founded the truck company Nikola, will be sentenced on Monday in a fraud case that exposed the excesses in the electric vehicle business.

Supreme Court Seems Wary of In-House S.E.C. Tribunals

The justices heard arguments over whether the Constitution allows the agency to pursue enforcement actions before its own judges instead of in federal courts.