US federal agencies have charged four crypto market makers and 18 individuals with fraud and market manipulation, including ...

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 Securities and Exchange Commission has brought civil charges against two former Cetera advisors for allegedly orchestrating separate cherry-picking schemes that cost clients millions of dollars.

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 ...

The SEC also charged Hoau-Yan Wang ... Wang, while neither admitting nor denying the charges, agreed to cease future violations and pay a $50,000 fine. In July, CEO Rick Barry wrote a letter ...

On September 17, 2024, the US Securities and Exchange Commission (SEC) announced charges against 11 institutional investment managers for failing to file Forms 13F and 13H. All parties settled 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 ...

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 ...

The SEC also settled charges against Mango Labs and Blockworks Foundation for failing to register as brokers, the agency said. Jurors in federal court in Manhattan earlier this year convicted a ...

and former Senior VP of Neuroscience Lindsay Burns have agreed to pay over $40 million to resolve SEC charges over misleading statements related to a Phase 2 trial of the company’s controversial ...