- + Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD —The Securities and Exchange Commission today charged Tai Mo Shan Limited with misleading investors about the stability of Terra USD (UST), a purported...
- + SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule —The Securities and Exchange Commission today adopted amendments to Rule 15c3-3 (the customer protection rule) to require certain broker-dealers to inc...
- + SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule —The Securities and Exchange Commission today adopted amendments to Rule 15c3-3 (the customer protection rule) to require certain broker-dealers to inc...
- + SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings —The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to time...
- + SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings —The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to time...
- + SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico —The Securities and Exchange Commission today charged registered investment adviser Silver Point Capital L.P. with failing to establish, implement, and...
- + SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico —The Securities and Exchange Commission today charged registered investment adviser Silver Point Capital L.P. with failing to establish, implement, and...
- + Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports —The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for fai...
- + Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports —The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for fai...
- + Wells Fargo and LPL Financial Charged for Submitting Deficient Trading Data to SEC —The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to ...
- + Wells Fargo and LPL Financial Charged for Submitting Deficient Trading Data to SEC —The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to ...
- + SEC Charges Utility Company Entergy Corp. with Internal Accounting Controls Violations —The Securities and Exchange Commission today announced that Entergy Corporation, a Louisiana-based utility company, agreed to pay a $12 million civil ...
- + SEC Charges Utility Company Entergy Corp. with Internal Accounting Controls Violations —The Securities and Exchange Commission today announced that Entergy Corporation, a Louisiana-based utility company, agreed to pay a $12 million civil ...
- + Global Aerospace Company AAR and Former Executive of its Subsidiary Settle Charges for Bribing Nepalese and South African Officials —The Securities and Exchange Commission today announced that Illinois-based AAR CORP., a global provider of aviation services and products, agreed to r...
- + Global Aerospace Company AAR and Former Executive of its Subsidiary Settle Charges for Bribing Nepalese and South African Officials —The Securities and Exchange Commission today announced that Illinois-based AAR CORP., a global provider of aviation services and products, agreed to r...
- + SEC Approves 2025 PCAOB Budget and Accounting Support Fee —The Securities and Exchange Commission voted today to approve the 2025 budget of the Public Company Accounting Oversight Board (PCAOB) and the related...
- + SEC Approves 2025 PCAOB Budget and Accounting Support Fee —The Securities and Exchange Commission voted today to approve the 2025 budget of the Public Company Accounting Oversight Board (PCAOB) and the related...
- + SEC Charges Express, Inc. with Failing to Disclose Nearly $1 Million in Perks Provided to Former CEO —The Securities and Exchange Commission today announced settled charges against Ohio-based Express, Inc., a multi-brand American fashion retailer, for ...
- + SEC Charges Express, Inc. with Failing to Disclose Nearly $1 Million in Perks Provided to Former CEO —The Securities and Exchange Commission today announced settled charges against Ohio-based Express, Inc., a multi-brand American fashion retailer, for ...
- + SEC Modernizes the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934 —The Securities and Exchange Commission today adopted amendments to require the electronic filing, submission, or posting of certain forms, filings, an...
- + SEC Modernizes the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934 —The Securities and Exchange Commission today adopted amendments to require the electronic filing, submission, or posting of certain forms, filings, an...
- + Becton Dickinson to Pay $175 Million for Misleading Investors About Alaris Infusion Pump —The Securities and Exchange Commission today announced settled charges against Becton, Dickinson and Company, a New Jersey-based medical device manufa...
- + Becton Dickinson to Pay $175 Million for Misleading Investors About Alaris Infusion Pump —The Securities and Exchange Commission today announced settled charges against Becton, Dickinson and Company, a New Jersey-based medical device manufa...
- + SEC Announces Departure of Corporation Finance Division Director Erik Gerding —The Securities and Exchange Commission today announced that Erik Gerding, Director of the Division of Corporation Finance, will depart the agency effe...
- + SEC Announces Departure of Corporation Finance Division Director Erik Gerding —The Securities and Exchange Commission today announced that Erik Gerding, Director of the Division of Corporation Finance, will depart the agency effe...
- + SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures —The Securities and Exchange Commission today charged global financial services firm Cantor Fitzgerald, L.P. with causing two special purpose acquisiti...
- + SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures —The Securities and Exchange Commission today charged global financial services firm Cantor Fitzgerald, L.P. with causing two special purpose acquisiti...
- + SEC Charges Former Representative of Advisory Firm SeaCrest with Cherry-Picking —The Securities and Exchange Commission today charged Eric Cobb of South Carolina with engaging in a fraudulent scheme where he allocated profitable se...
- + SEC Charges Former Representative of Advisory Firm SeaCrest with Cherry-Picking —The Securities and Exchange Commission today charged Eric Cobb of South Carolina with engaging in a fraudulent scheme where he allocated profitable se...
- + SEC Small Business Advocacy Office Delivers Report to Congress on Capital Raising for Startups to Small Public Companies —The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2024 Annual Report today to Cong...
- + SEC Small Business Advocacy Office Delivers Report to Congress on Capital Raising for Startups to Small Public Companies —The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2024 Annual Report today to Cong...
- + SEC Small Business Advocacy Office Delivers Report to Congress on Capital Raising for Startups to Small Public Companies —The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2024 Annual Report today to Cong...
- + SEC Office of the Investor Advocate Issues Report on Nationally Representative Survey of Investors and Continues Focus on Investment Fraud —The Securities and Exchange Commission’s Office of the Investor Advocate today published its Report on Activities for the Fiscal Year 2024 to Con...
- + SEC Office of the Investor Advocate Issues Report on Nationally Representative Survey of Investors and Continues Focus on Investment Fraud —The Securities and Exchange Commission’s Office of the Investor Advocate today published its Report on Activities for the Fiscal Year 2024 to Con...
- + SEC Charges Ken Peterman, Former Comtech CEO, with Insider Trading in Advance of Negative Earnings Announcement —The Securities and Exchange Commission today announced insider trading charges against Ken Peterman, the former CEO, president, and Chair of the Board...
- + SEC Charges Ken Peterman, Former Comtech CEO, with Insider Trading in Advance of Negative Earnings Announcement —The Securities and Exchange Commission today announced insider trading charges against Ken Peterman, the former CEO, president, and Chair of the Board...
- + SEC Charges Three Individuals with Impersonating Financial Professionals in Fraud Scheme Targeting Retail Investors —The Securities and Exchange Commission today charged Chibuzo Augustine Onyeachonam, Stanley Chidubem Asiegbu, and Chukwuebuka Martin Nweke-Eze with fr...
- + SEC Charges Three Individuals with Impersonating Financial Professionals in Fraud Scheme Targeting Retail Investors —The Securities and Exchange Commission today charged Chibuzo Augustine Onyeachonam, Stanley Chidubem Asiegbu, and Chukwuebuka Martin Nweke-Eze with fr...
- + SEC Charges Morgan Stanley Smith Barney for Policy Deficiencies that Resulted in Failure to Prevent and Detect its Financial Advisors’ Theft of Investor Funds —The Securities and Exchange Commission today charged Morgan Stanley Smith Barney LLC (MSSB) with failing to reasonably supervise four investment advis...
- + SEC Charges Morgan Stanley Smith Barney for Policy Deficiencies that Resulted in Failure to Prevent and Detect its Financial Advisors’ Theft of Investor Funds —The Securities and Exchange Commission today charged Morgan Stanley Smith Barney LLC (MSSB) with failing to reasonably supervise four investment advis...
- + SEC Charges Ian Bell with Defrauding Professional Athletes and Others in Fraudulent Day-Trading Scheme —The Securities and Exchange Commission today charged Denver resident Ian G. Bell with securities fraud for lying to investors and misappropriating the...
- + SEC Charges Ian Bell with Defrauding Professional Athletes and Others in Fraudulent Day-Trading Scheme —The Securities and Exchange Commission today charged Denver resident Ian G. Bell with securities fraud for lying to investors and misappropriating the...
- + SEC Announces Departure of Trading and Markets Division Director Haoxiang Zhu —The Securities and Exchange Commission today announced that Haoxiang Zhu, Director of the Division of Trading and Markets, will depart the agency effe...
- + SEC Announces Departure of Trading and Markets Division Director Haoxiang Zhu —The Securities and Exchange Commission today announced that Haoxiang Zhu, Director of the Division of Trading and Markets, will depart the agency effe...
- + SEC Investor Advisory Committee to Examine Mandatory Arbitration Clauses in Adviser Agreements and Alternative Assets and Retail Investors at December 10 Meeting —The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 10, 2024, at 10 a.m. ET. The meeting w...
- + SEC Investor Advisory Committee to Examine Mandatory Arbitration Clauses in Adviser Agreements and Alternative Assets and Retail Investors at December 10 Meeting —The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 10, 2024, at 10 a.m. ET. The meeting w...
- + SEC Charges Kiromic BioPharma and Two Former C-Suite Executives with Misleading Investors about Status of FDA Reviews —The Securities and Exchange Commission today filed settled charges against Houston-based biotherapeutics company Kiromic BioPharma, Inc., its former C...
- + SEC Charges Kiromic BioPharma and Two Former C-Suite Executives with Misleading Investors about Status of FDA Reviews —The Securities and Exchange Commission today filed settled charges against Houston-based biotherapeutics company Kiromic BioPharma, Inc., its former C...
- + 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 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 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 12/26/24 7:37am. Last new 12/21/24 12:18am. Score: 457
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