The SEC’s complaints claim that the companies purported to be market makers and that the individuals offered investors market-manipulation-as-a-service including generating artificial trading ...

The United States Securities and Exchange Commission (SEC) settled charges against TrueCoin and TrustToken for fraudulent and unregistered sales of investment contracts involving the TrueUSD ...

The SEC charged 12 municipal advisory firms with recordkeeping violations. They agreed to pay a collective $1.3 million to resolve the charges. All the firms violated MSRB Rules G-44 on ...

The SEC accused employees of a Moog subsidiary of bribing multiple Indian officials to “win business and also used a variety ...

Since December 2021, the SEC has settled charges with more than 100 firms and resulting in more than $2 billion in penalties for failures to maintain and preserve electronic communications ...

In a statement, a spokeswoman for Cumberland called the charges "incredibly frustrating and disappointing." "Despite (SEC) Chairman (Gary) Gensler’s call to just 'come in and register ...

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 ...

The U.S. Securities and Exchange Commission announced that Moog Inc., a New York-based global manufacturer of motion control systems ...

In the complaint, which was filed in the U.S. District Court for the Northern District of California, the SEC outlined two main ... that amounted to annual charges of $480,000.

The president of a St. Petersburg real estate investment firm agreed to a fine to settle charges by the U.S. Securities ... to a request for comment. The SEC charged nine other individuals for ...