- + SEC Updates List of Firms Using Inaccurate Information to Solicit Investors —The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit pr...
- + SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud —The Securities and Exchange Commission today announced fraud charges against Stephen Kenneth (“Ken”) Leech, the former co-chief investment officer (CI...
- + SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud —The Securities and Exchange Commission today announced fraud charges against Stephen Kenneth (“Ken”) Leech, the former co-chief investment officer (CI...
- + SEC Announces Enforcement Results for Fiscal Year 2024 —The SEC obtained orders for $8.2 billion in financial remedies, the highest amount in a fiscal year in agency history.
- + SEC Announces Enforcement Results for Fiscal Year 2024 —The SEC obtained orders for $8.2 billion in financial remedies, the highest amount in a fiscal year in agency history.
- + SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports —The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson ...
- + SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports —The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson ...
- + UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit —The Securities and Exchange Commission today announced settled charges against United Parcel Service Inc. for materially misrepresenting its earnings ...
- + UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit —The Securities and Exchange Commission today announced settled charges against United Parcel Service Inc. for materially misrepresenting its earnings ...
- + SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud —The Securities and Exchange Commission today charged David Kushner, a resident of Boca Raton, Florida, and his company La Mancha Funding Corp. with de...
- + SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud —The Securities and Exchange Commission today charged David Kushner, a resident of Boca Raton, Florida, and his company La Mancha Funding Corp. with de...
- + SEC Chair Gensler to Depart Agency on January 20 —The Securities and Exchange Commission today announced that its 33rd Chair, Gary Gensler, will step down from the Commission effective at 12:00 pm on ...
- + SEC Chair Gensler to Depart Agency on January 20 —The Securities and Exchange Commission today announced that its 33rd Chair, Gary Gensler, will step down from the Commission effective at 12:00 pm on ...
- + SEC Charges Three Senior Executives in Two Actions Alleging Massive Bribery Scheme Involving Indian Energy Companies Adani Green and Azure Power —The Securities and Exchange Commission today charged Gautam Adani and Sagar Adani, executives of Adani Green Energy Ltd., and Cyril Cabanes, an execut...
- + SEC Charges Three Senior Executives in Two Actions Alleging Massive Bribery Scheme Involving Indian Energy Companies Adani Green and Azure Power —The Securities and Exchange Commission today charged Gautam Adani and Sagar Adani, executives of Adani Green Energy Ltd., and Cyril Cabanes, an execut...
- + SEC Charges BIT Mining with FCPA Violations in Connection with Bribery Scheme to Influence Members of Japanese Parliament —The Securities and Exchange Commission today announced that BIT Mining Ltd., formerly known as 500.com Limited, agreed to pay a $4 million civil penal...
- + SEC Charges BIT Mining with FCPA Violations in Connection with Bribery Scheme to Influence Members of Japanese Parliament —The Securities and Exchange Commission today announced that BIT Mining Ltd., formerly known as 500.com Limited, agreed to pay a $4 million civil penal...
- + SEC Charges Invesco Advisers for Making Misleading Statements About Supposed Investment Considerations —The Securities and Exchange Commission today charged Invesco Advisers, Inc. for making misleading statements about the percentage of company-wide asse...
- + JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions —The Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management Inc. (JPMIM) – both affil...
- + SEC Announces New Members of Small Business Capital Formation Advisory Committee —The Securities and Exchange Commission today announced four new members of the Small Business Capital Formation Advisory Committee. The new members we...
- + SEC Adopts Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies —The Securities and Exchange Commission today adopted rule amendments and a new rule to improve the resilience and recovery and wind-down planning of c...
- + SEC Adopts Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies —The Securities and Exchange Commission today adopted rule amendments and a new rule to improve the resilience and recovery and wind-down planning of c...
- + SEC Small Business Advisory Committee to Discuss Approaches to Venture Capital Fundraising and Challenges Facing Emerging Fund Managers —The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, N...
- + SEC Charges Four Companies With Misleading Cyber Disclosures —The Securities and Exchange Commission today charged four current and former public companies – Unisys Corp., Avaya Holdings Corp., Check Point Softwa...
- + SEC Charges Advisory Firm WisdomTree with Failing to Adhere to Its Own Investment Criteria For ESG-Marketed Funds —The Securities and Exchange Commission today charged New York-based investment adviser WisdomTree Asset Management Inc. with making misstatements and ...
- + SEC Division of Examinations Announces 2025 Priorities —The Securities and Exchange Commission’s Division of Examinations today released its 2025 examination priorities. The Division publishes its examinati...
- + SEC Charges Virginia-Based RTX Corp. with Violating Foreign Corrupt Practices Act in Connection with Efforts to Obtain Contracts with the Qatari Military —The Securities and Exchange Commission today announced that RTX Corporation, a Virginia-based aerospace and defense company, agreed to pay more than $...
- + SEC Charges U.S.-Based Moog Inc. with FCPA Violations for Subsidiary’s Role in Indian Bribery Scheme —The Securities and Exchange Commission today announced that Moog Inc., a New York-based global manufacturer of motion controls systems for aerospace, ...
- + SEC Charges Cumberland DRW for Operating as an Unregistered Dealer in the Crypto Asset Markets —The Securities and Exchange Commission today charged Chicago-based Cumberland DRW LLC with operating as an unregistered dealer in more than $2 billion...
- + SEC Issues $12 Million Award to Joint Whistleblowers —The Securities and Exchange Commission today announced a $12 million award to be split among three joint whistleblowers who provided critical informat...
- + SEC Charges Rimar Capital Entities and Owner Itai Liptz for Defrauding Investors by Making False and Misleading Statements About Use of Artificial Intelligence —The Securities and Exchange Commission today announced charges against Rimar Capital USA, Inc. (Rimar USA), Rimar Capital, LLC (Rimar LLC), Itai Liptz...
- + SEC Charges Three So-Called Market Makers and Nine Individuals in Crackdown on Manipulation of Crypto Assets Offered and Sold as Securities —The Securities and Exchange Commission today announced fraud charges against three companies purporting to be market makers and nine individuals for e...
- + SEC Charges “Magic Mushroom” Company and Two Individuals with Multimillion Dollar Pump-and-Dump Scheme —The Securities and Exchange Commission today charged Minerco Inc. (former over-the-counter ticker: MINE), Bobby Shumake Japhia, and Julius Makiri Jeng...
- + SEC Monitoring Impact of Hurricane Milton on Capital Markets —The Securities and Exchange Commission is closely monitoring the impact of Hurricane Milton on investors and capital markets. The SEC also continues t...
- + SEC Encourages Investors to Choose Their Information Sources Wisely During World Investor Week —This marks the eighth year of World Investor Week, a global effort promoted by the International Organization of Securities Commissions that brings to...
- + SEC Announces Departure of Enforcement Director Gurbir S. Grewal —The Securities and Exchange Commission today announced that Gurbir S. Grewal, Director of the Division of Enforcement, will depart the agency, effecti...
As of 12/1/24 11:46am. Last new 11/28/24 4:30am. Score: 441
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