Available positions include at-large members and senior citizen representatives. The Securities and Exchange Commission (SEC) is accepting applications for its Investor Advisory Committee, which was created under the…
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SEC Fines Broker-Dealer for Market Access and Confidentiality Violations
Liquidnet agrees to a settlement over charges of inadequate controls, safeguards, and misleading disclosures. The Securities and Exchange Commission (SEC) announced that Liquidnet Inc., a broker-dealer operating multiple…
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SEC Reopens Investigation into Musk’s Twitter Acquisition
The billionaire says the commission is also probing his brain-chip company, Neuralink. The Securities and Exchange Commission stated it is investigating “the matter of certain purchases, sales, and…
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J.P. Morgan Settles SEC Charges for Investor Misconduct
The firm agrees to pay over $151 million for misleading disclosures, fiduciary breaches, and conflicts of interest in multiple enforcement actions. The U.S. Securities and Exchange Commission (SEC)…
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Gary Gensler, Chair, Securities and Exchange Commission
Gary Gensler, Chair, Securities and Exchange Commission
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SEC Charges Crypto Market Manipulators in Fraudulent Trading Scheme
Investors were deceived by artificial trading volume and price manipulation. The Securities and Exchange Commission (SEC) filed fraud charges against three companies and nine individuals for engaging in…
Read MoreSEC Charges Hacker for Insider Trading on Stolen Earnings Data
A U.K. citizen used sophisticated technology to hide his identity. The U.S. Securities and Exchange Commission (SEC) has charged a U.K. citizen for hacking into the computer systems…
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SEC Fines Keurig $1.5 Million For False Recyclability Claims
The company violated the Securities Exchange Act of 1934 regarding the provision of information to investors. Securities and Exchange Commission (SEC) announced that a settlement had been reached…
Read MoreSEC Imposes $3 Million in Charges Against 7 Companies for Whistleblower Violations
Companies agree to remediate charges of impeding whistleblower communications. The Securities and Exchange Commission (SEC) announced that seven companies have agreed to pay a collective $3 million to…
Read MoreEsmark and Founder Settle SEC Charges Over False U.S. Steel Tender Offer
SEC fines Esmark Inc. and James Bouchard for announcing a $7.8 billion tender offer for U.S. Steel without having the financial means to complete the deal. The Securities…
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