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 ...
Cassava and former executives were charged Thursday by the SEC with making misleading claims in 2020 about trials for the ...
On 2 October 2024, the Securities and Exchange Commission (SEC) announced settled charges against one of the largest carbon ...
SEC Chair Gary Gensler, during a congressional hearing Tuesday, came under fire from Republicans asserting that he should use regulation more than enforcement to correct company record-keeping.
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 ...
US federal agencies have charged four crypto market makers and 18 individuals with fraud and market manipulation, including ...
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 ...
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 ...
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 ...
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 ...
On September 17, 2024, the US Securities and Exchange Commission (SEC) announced charges against 11 institutional investment managers for failing to file Forms 13F and 13H. All parties settled the ...
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 ...
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