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24 Mar 2022, 11:45 am
ET the Securities and Exchange Commission’s New York Regional Office, in coordination with Alpha Kappa Alpha Sorority Inc., Tau Omega Chapter, will celebrate women’s history month with a free investor education panel…Read the Full Press ReleaseHave a securities law question? [read post]
27 Apr 2022, 9:40 am
The Securities and Exchange Commission today announced that Inspector General Carl W. [read post]
26 Oct 2011, 10:39 am
The US Securities and Exchange Commission [official website] unsealed the findings of its investigation which... [read post]
16 Jun 2023, 7:00 am
The Securities and Exchange Commission today announced that registered investment adviser Pacific Investment Management Company LLC (PIMCO) will pay $9 million to settle two enforcement actions relating to disclosure and policies and procedures…Read the Full Press Release Have a securities law question? [read post]
13 Sep 2024, 12:36 pm
The Securities and Exchange Commission today charged Federico Nannini, his father, and two of his friends for insider trading in advance of the pending acquisition of Infrastructure and Energy Alternatives, Inc. [read post]
26 Sep 2024, 2:35 pm
The Securities and Exchange Commission today announced Cassava Sciences, Inc., its founder and former CEO, Remi Barbier, and its former Senior Vice President of Neuroscience, Dr. [read post]
25 Mar 2022, 10:00 am
The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and credible information that prompted SEC staff to open an investigation that resulted in a successful SEC covered action. [read post]
2 Mar 2023, 6:15 am
The Securities and Exchange Commission today announced settled charges against Oregon-based freight transportation supply company, The Greenbrier Companies Inc., and its founder and former CEO and Chairman, William A. [read post]
21 Sep 2023, 9:36 am
The Securities and Exchange Commission today announced charges against Mexico-based company Aras Investment Business Group S.A.P.I. de C.V., its CEO Armando Gutierrez Rosas, and four individuals for fraudulently raising at least $15 million from more…Read the Full Press Release Have a securities law question? [read post]
12 Aug 2022, 7:35 am
The Securities and Exchange Commission today announced that Lori H. [read post]
5 Dec 2022, 11:01 am
The Securities and Exchange Commission today announced that AT&T agreed to pay a $6.25 million penalty and three company executives agreed to pay $25,000 apiece stemming from charges brought in March 2021 related to the company’s selective disclosure…Read the Full Press ReleaseHave a securities law question? [read post]
31 Mar 2023, 11:25 am
The Securities and Exchange Commission today charged three executives of Mobile, Alabama-based shipbuilder, Austal USA LLC, for orchestrating a fraudulent revenue recognition scheme that allowed its parent company to meet or exceed analyst expectations…Read the Full Press Release Have a securities law question? [read post]
18 Apr 2023, 11:05 am
The Securities and Exchange Commission today charged investment advisory firm Betterment LLC for material misstatements and omissions related to its automated tax loss harvesting service (TLH), failing to provide clients with notice of changes to…Read the Full Press Release Have a securities law question? [read post]
7 Dec 2023, 11:01 am
The Securities and Exchange Commission today announced that Daniel R. [read post]
7 Dec 2023, 5:51 am
The Securities and Exchange Commission today announced charges against Raymond J. [read post]
3 Apr 2024, 12:50 pm
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. [read post]
24 Apr 2024, 7:05 am
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. [read post]
3 May 2024, 6:00 am
The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. [read post]
22 Jul 2024, 11:05 am
In response to a previously announced medical issue, the Securities and Exchange Commission today announced that Richard Best, the Director of the Division of Examinations, will take leave from the agency to focus on his health. [read post]
26 Aug 2024, 2:35 pm
The Securities and Exchange Commission today announced that it obtained emergency asset freezes against Jonathan Adam, a resident of Angleton, Texas, and his brother, Tanner Adam, a resident of Miami, Florida, and against their respective entities, GCZ…Read the Full Press Release Have a securities law question? [read post]
