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Morgan Stanley
Morgan Stanley to pay $249mn to settle US block trading probes
...Gurbir Grewal, enforcement director at the SEC, added that Morgan Stanley broke the rules “to mitigate their own risk, win more block trade business, and generate over a hundred million dollars in illicit...
January 12, 2024
Digital World Acquisition Corp
Three men charged with insider trading related to Trump media Spac
...“As a board member, Garelick not only had access to information about DWAC’s upcoming merger announcement, but also a duty to maintain the confidentiality of that information,” said Gurbir Grewal, the SEC...
June 29, 2023
FT Live
Innovation in Wealth Management Summit
Augmented intelligence for client-centric services
Thursday, 2 May9 Montague Close, London, UK
Cryptocurrencies
Celsius founder Alex Mashinsky arrested and charged with fraud
...SEC enforcement director Gurbir Grewal said his agency was acting to protect investors who lost out....
July 13, 2023
FTX live news updates from December 13: DOJ charges Bankman-Fried, Ray says ‘embezzlement’ caused collapse
US attorney’s office to hold press conference on Bankman-Fried charges at 2pm EST
...Williams will be flanked by Michael Driscoll, assistant director-in-charge at the FBI’s field office in New York, Securities and Exchange Commission director of enforcement Gurbir Grewal and Gretchen Lowe...
December 13, 2022
JPMorgan Chase & Co
Frank founder charged with defrauding JPMorgan in $175mn sale
...Grewal, director of the SEC’s division of enforcement, in a statement....
April 4, 2023
Financial fraud
Exiled Chinese businessman Guo Wengui arrested on US fraud charges
...“We allege that Guo was a serial fraudster,” said Gurbir Grewal, director of the SEC’s division of enforcement....
March 15, 2023
FT Live
Financial Adviser Service Awards 2024
Who gives you 5 star service?
Thursday, 14 NovemberNatural History Museum, Cromwell Road, London, UK
Cryptocurrencies
Crypto exchange Kraken ends staking programme and pays $30mn in SEC case
...The exchange offered investors “outsized returns untethered to any economic realities”, said Gurbir Grewal, the SEC’s director of the division of enforcement....
February 9, 2023
Ozy Media
Ozy Media founder Carlos Watson arrested on fraud charges
...Over the course of the alleged scheme, “the defendants raised approximately $50mn from victim investors on the basis of fraudulent documents and repeated misrepresentations”, said Gurbir Grewal, the SEC’...
February 23, 2023
Live news updates from December 14: Fed raises rates 0.5%, UK inflation slows to 10.7%
US officials ‘not done’ in pursuit of individuals linked to FTX collapse
...Gurbir Grewal, director of the SEC’s enforcement division, told reporters on Tuesday that FTX “operated behind a veneer of legitimacy” created by Bankman-Fried....
December 13, 2022
FTX live news updates from December 13: DOJ charges Bankman-Fried, Ray says ‘embezzlement’ caused collapse
US officials ‘not done’ in pursuit of individuals linked to FTX collapse
...Gurbir Grewal, director of the SEC’s enforcement division, told reporters on Tuesday that FTX “operated behind a veneer of legitimacy” created by Bankman-Fried....
December 13, 2022
Sam Bankman-Fried
Bankman-Fried arrested in Bahamas on US criminal charges
...Bankman-Fried in the Bahamas on federal criminal charges,” Gurbir Grewal, director of the SEC’s division of enforcement, said in a statement....
December 13, 2022
Due Diligence
Boots proves too bitter a pill to swallow Premium content
...Grewal, director of the SEC’s enforcement division....
June 29, 2022
Cryptocurrencies
US state regulators close in on BlockFi’s crypto accounts
...Political observers noted that until July 16, the New Jersey attorney-general’s office had been headed by Gurbir Grewal, who has left the elected post to run the enforcement division of the Securities and...
July 24, 2021
Electric vehicles
Nikola founder Trevor Milton charged with making false statements
...Gurbir Grewal, head of the SEC’s enforcement division, said the case “also demonstrates that corporate officers cannot say whatever they want on social media with disregard to securities law”....
July 29, 2021

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