Charges. The SEC charged that the defendants violated Securities Act Sections 17(a)(2) and 17(a)(3). In its complaint, the SEC alleged that they made the following misleading statements about the ...

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 ...

On 2 October 2024, the Securities and Exchange Commission (SEC) announced settled charges against one of the largest carbon ...

The Securities and Exchange Commission has brought civil charges against two former Cetera advisors for allegedly orchestrating separate cherry-picking schemes that cost clients millions of dollars.

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 ...

The SEC also charged Hoau-Yan Wang ... Wang, while neither admitting nor denying the charges, agreed to cease future violations and pay a $50,000 fine. In July, CEO Rick Barry wrote a letter ...

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 ...

The SEC also settled charges against Mango Labs and Blockworks Foundation for failing to register as brokers, the agency said. Jurors in federal court in Manhattan earlier this year convicted a ...

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 ...

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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 ...