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 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 ...
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 ...
(Reuters) - Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvest Volatility Management LLC have agreed to pay a combined $9 ...
The SEC's complaints were filed in the U.S. District Court for the Southern District of New York. They charge Roberts, Weiss and Coen with violating the antifraud and other provisions of the federal ...
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 ...
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 United States Securities and Exchange Commission filed “settled charges” against the Mango ... the entities have collectively agreed to pay the SEC $700,000 in civil penalties, destroy ...
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