Search for: "Securities and Exchange Commission"
Results 2821 - 2840
of 22,167
Sorted by Relevance
|
Sort by Date
1 Dec 2022, 8:55 am
The Securities and Exchange Commission today announced that David L. [read post]
14 Aug 2024, 12:40 pm
The Securities and Exchange Commission today announced that it obtained a preliminary injunction, asset freeze, and other emergency relief against Atlanta-based Drive Planning LLC and its founder and CEO, Russell Todd Burkhalter, to halt a $300 million…Read the Full Press Release Have a securities law question? [read post]
25 May 2022, 7:00 am
The Securities and Exchange Commission today announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M. [read post]
23 Nov 2022, 9:10 am
The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse workforce…Read the Full Press ReleaseHave a securities law question? [read post]
9 Sep 2024, 9:25 am
The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy of income statements and balance sheets. [read post]
12 Sep 2024, 6:02 am
The Securities and Exchange Commission today announced that eToro USA LLC has agreed to pay $1.5 million to settle charges that it operated an unregistered broker and unregistered clearing agency in connection with its trading platform that facilitated…Read the Full Press Release Have a securities law question? [read post]
29 Nov 2023, 2:27 pm
The Securities and Exchange Commission today announced fraud charges against Phoenix-based real estate investment company ArciTerra Companies LLC and its CEO, Jonathan M. [read post]
25 Apr 2023, 8:02 am
The Securities and Exchange Commission today announced that Eric R. [read post]
6 Jun 2022, 12:40 pm
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 9 at 10 a.m. [read post]
12 Mar 2024, 9:00 am
The Securities and Exchange Commission today announced insider trading charges against Roy Cook, a former board member of Tallgrass Energy LP, and four of his friends for trading on material nonpublic information in advance of a public announcement that…Read the Full Press Release Have a securities law question? [read post]
9 Oct 2024, 11:36 am
The Securities and Exchange Commission today charged Minerco Inc. [read post]
27 Sep 2023, 2:12 pm
The Securities and Exchange Commission today filed charges against siblings Marco A. [read post]
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]
29 Jun 2022, 11:20 am
The Securities and Exchange Commission today announced that Kurt L. [read post]
15 Mar 2023, 7:30 am
The Securities and Exchange Commission today charged exiled Chinese businessman Miles Guo and his financial advisor William Je for their involvement in unregistered and fraudulent offerings that raised more than $850 million. [read post]
16 Oct 2023, 8:01 am
The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on in the…Read the Full Press Release Have a securities law question? [read post]
22 Dec 2023, 8:01 am
The Securities and Exchange Commission today announced that BarnBridge DAO, a purportedly decentralized autonomous organization, and its two founders, Tyler Ward and Troy Murray, will pay more than $1.7 million to settle charges that they failed to…Read the Full Press Release Have a securities law question? [read post]
26 Aug 2004, 1:29 pm
The US Securities and Exchange Commission said Thursday that it had settled conflict of interest charges against Europe's Deutsche Bank for $87.5M. [read post]
25 Jan 2024, 6:20 am
The Securities and Exchange Commission today announced settled charges against Aon Investments USA Inc., a Chicago-based registered investment adviser, and the firm’s former partner, Claire P. [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]
