On September 16, 2024, the Securities and Exchange Commission (SEC) filed civil charges against former CEO Paul D. Roberts, former Chief Financial Officer Joshua A. Weiss, and former Audit ...

On September 3, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against Galois Capital Management LLC (“Galois”), a Florida-based former registered ...

Those facing charges include John LoPinto, Robert Wilkos, and Laren Piscotti, the SEC said. Also, the SEC alleges, LoPinto used an alias to hide his disciplinary history that includes sanctions by ...

In its correction, the firm also paid out $220,000 to 846 retail customers, accounting for upfront sales charges plus interest. The SEC's examination priorities for 2024 indicated Regulation Best ...

The news comes on the same day that the SEC filed charges against Cassava, former CEO Remi Barbier, and former senior vice president of neuroscience Lindsay Burns. In a lawsuit filed with the U.S ...

The SEC charges DraftKings with selectively disclosing nonpublic information to investors who followed the company CEO’s social accounts. DraftKings agrees to pay a $200,000 civil penalty to ...

A former Cetera Financial advisor cherry-picked daily trades for his own benefit, netting about $5.3 million in “illicit” first-day profits, according to new charges from the SEC. The ...

Shares in Cassava were down more than 10% in pre-market trading following the SEC's announcement. Cassava will pay $40 million to settle the civil charges, while Barbier and Burns, have agreed to ...

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The Securities and Exchange Commission announced registered investment adviser Macquarie Investment Management Business Trust (MIMBT) will pay a total of $79.8 million to settle charges for ...

Cassava Sciences (NASDAQ:SAVA) has agreed to pay $40M to settle charges by the U.S. Securities and Exchange Commission (SEC) that the drug developer made misleading claims about the 2020 trial ...

and former Senior VP of Neuroscience Lindsay Burns have agreed to pay over $40 million to resolve SEC charges over misleading statements related to a Phase 2 trial of the company’s controversial ...