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)…
Read MoreSecurities and Exchange Commission
Gary Gensler, Chair, Securities and Exchange Commission
Gary Gensler, Chair, Securities and Exchange Commission
Read More
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 More
SEC 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…
Read More
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…
Read More
Administration Strike Force on Unfair Pricing Holds Public Meeting
FTC and DOJ partner in discussions on enforcement actions to reduce prices for Americans. The Federal Trade Commission and the Department of Justice held and co-hosted an inaugural…
Read More
SEC Launches Campaign to Promote Investor Protection
The educational initiative is meant to help investors avoid scams. The Securities and Exchange Commission’s Office of Investor Education and Advocacy has launched a public awareness campaign called…
Read More
Senate Committee Finds SEC and CFTC Oversight of AI Lacking
Their report calls for new standards to mitigate potential harms from machine learning in trading. The Senate Homeland Security and Governmental Affairs Committee (HSGAC) recently released a report…
Read More