Search for: "Securities and Exchange Commission"
Results 2421 - 2440
of 22,358
Sorted by Relevance
|
Sort by Date
6 Sep 2023, 1:16 pm
The Securities and Exchange Commission today announced that Irving, Texas-based Fluor Corporation will pay $14.5 million to settle charges stemming from the company’s improper accounting on two large-scale, fixed-price construction projects. [read post]
6 Sep 2024, 8:00 am
The Securities and Exchange Commission today announced settled charges against Esmark Inc. and its founder, chairman, and former CEO, James P. [read post]
17 Sep 2024, 11:10 am
The Securities and Exchange Commission today charged five entities and three individuals in connection with two relationship investment scams involving fake crypto asset trading platforms NanoBit and CoinW6, respectively. [read post]
10 Oct 2024, 9:35 am
The Securities and Exchange Commission today announced a $12 million award to be split among three joint whistleblowers who provided critical information and assistance in an SEC enforcement action. [read post]
22 Dec 2023, 6:02 am
The Securities and Exchange Commission today announced fraud charges against Brooge Energy Limited, a publicly-traded energy company located in the United Arab Emirates, the company’s former CEO, Nicolaas Lammert Paardenkooper, and its former Chief…Read the Full Press Release Have a securities law question? [read post]
20 Apr 2022, 8:00 am
The Securities and Exchange Commission today announced charges against Stericycle, Inc. for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes that took place in Argentina, Brazil, and Mexico. [read post]
26 Jul 2024, 10:45 am
The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. [read post]
3 Aug 2023, 7:10 am
The Securities and Exchange Commission today announced that it obtained a temporary asset freeze, restraining order, and other emergency relief against Digital Licensing Inc., a Draper, Utah based entity doing business as “DEBT Box,” as well as the…Read the Full Press Release Have a securities law question? [read post]
SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail
6 Sep 2023, 8:40 am
The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (CAT) (the “CAT NMS Plan”) to adopt a revised funding model, called the “Executed Share Model,” for the CAT…Read the Full Press Release Have a securities law question? [read post]
25 Jan 2023, 10:05 am
The Securities and Exchange Commission today announced that Silvestre A. [read post]
18 Apr 2022, 9:45 am
The Securities and Exchange Commission today announced charges against 16 defendants, located in the Bahamas, the British Virgin Islands, Bulgaria, Canada, the Cayman Islands, Monaco, Spain, Turkey, and the United Kingdom, for participating in multi-year…Read the Full Press ReleaseHave a securities law question? [read post]
31 May 2022, 3:00 pm
The Securities and Exchange Commission today charged New York-based SCWorx Corp. and its former Chief Executive Officer and Chairman of the Board, Marc S. [read post]
27 Sep 2024, 11:45 am
The Securities and Exchange Commission today filed settled charges against Mango DAO and Blockworks Foundation for engaging in the unregistered offer and sale of crypto assets called “MNGO” tokens. [read post]
17 Jan 2025, 6:10 am
The Securities and Exchange Commission today announced charges against broker-dealer and investment adviser LPL Financial LLC for multiple failures related to its anti-money laundering (AML) program. [read post]
28 Mar 2022, 12:40 pm
The Securities and Exchange Commission today announced insider trading charges against three software engineers employed at Twilio, Inc., a San Francisco-based cloud computing communications company, and four family members and friends for allegedly…Read the Full Press ReleaseHave a securities law question? [read post]
2 May 2022, 9:50 am
The Securities and Exchange Commission today announced fraud charges against Synergy Settlement Services, Inc., CEO Jason D. [read post]
13 Jul 2022, 9:00 am
The Securities and Exchange Commission today proposed amendments to the rule that governs the process for including shareholder proposals in a company’s proxy statement. [read post]
10 Jan 2025, 10:06 am
The Securities and Exchange Commission today announced settled charges against broker-dealer Liquidnet Inc., an operator of multiple alternative trading systems (ATSs), for failing to have necessary controls and procedures regarding market access, for…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
25 Aug 2023, 8:06 am
The Securities and Exchange Commission today announced an award of more than $18 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. [read post]
5 Dec 2023, 7:17 am
The Office of the Investor Advocate of the Securities and Exchange Commission today published its Report on Activities for the Fiscal Year 2023 to Congress. [read post]
