On September 16, 2024, the Securities and Exchange Commission (SEC) filed civil charges against former CEO Paul D. Roberts, former Chief Financial Officer Joshua A. Weiss, and former Audit ...

Cassava and former executives were charged Thursday by the SEC with making misleading claims in 2020 about trials for the ...

Those facing charges include John LoPinto, Robert Wilkos, and Laren Piscotti, the SEC said. Also, the SEC alleges, LoPinto used an alias to hide his disciplinary history that includes sanctions by ...

On September 3, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against Galois Capital Management LLC (“Galois”), a Florida-based former registered ...

In its correction, the firm also paid out $220,000 to 846 retail customers, accounting for upfront sales charges plus interest. The SEC's examination priorities for 2024 indicated Regulation Best ...

The SEC charges DraftKings with selectively disclosing nonpublic information to investors who followed the company CEO’s social accounts. DraftKings agrees to pay a $200,000 civil penalty to ...

A former Cetera Financial advisor cherry-picked daily trades for his own benefit, netting about $5.3 million in “illicit” first-day profits, according to new charges from the SEC. The ...

Shares in Cassava were down more than 10% in pre-market trading following the SEC's announcement. Cassava will pay $40 million to settle the civil charges, while Barbier and Burns, have agreed to ...

Shares of Cassava Sciences Inc. dropped more than 10% in the extended session Thursday after announcing a settlement with U.S ...

The Securities and Exchange Commission announced registered investment adviser Macquarie Investment Management Business Trust (MIMBT) will pay a total of $79.8 million to settle charges for ...

Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvest Volatility Management LLC have agreed to pay a combined $9.3 million ...

How much does shipping cost from Novatech? Novatech offers next day delivery for £5.99, and will charge you £12.58 for weekend delivery. If you want to pay nothing, you’ll have to collect your ...