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…
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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…
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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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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…
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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…
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