Tag: Securities & Exchange Commission
United States SEC Fines Audit Firm Marcum $10 Million for Violation...
United States SEC Fines Audit Firm Marcum $10 Million for Violation of Audit Standards, Took 600 SPAC Clients in 1 Year with 25% to...
JP Morgan Files Insurance Claim on $175 Million Acquisition of Financial...
JP Morgan Files Insurance Claim on $175 Million Acquisition of Financial Education Student Website Frank in 2021 for Fraud, Claims 4.25 Million Customers But...
United States SEC Fines JP Morgan Fines $4 Million for Permanently...
United States SEC Fines JP Morgan Fines $4 Million for Permanently Deleting 47 Million Business Emails of 7,500 Employees Required to Stored for 3...
United States SEC Fines $75 Billion Private Equity Firm Insight Venture...
United States SEC Fines $75 Billion Private Equity Firm Insight Venture Management $1.5 Million & Additional $864,958 Paid Back to the Funds for Charging...
United States SEC Fines $1.8 Trillion PIMCO $9 Million for Wrongly...
United States SEC Fines $1.8 Trillion PIMCO $9 Million for Wrongly Charging $27 Million Advisory Fees to Investors & Failure to Disclose Use of...
FTX Founder Sam Bankman-Fried Submits Court Filing to Withdraw 10 of...
FTX Founder Sam Bankman-Fried Submits Court Filing to Withdraw 10 of 13 Criminal Charges, Citing Unfair Government Intervention and Turning Civil & Regulatory Issues...
United States SEC Requires Private Equity Funds to File Within 60...
United States SEC Requires Private Equity Funds to File Within 60 Days of Every Fiscal Quarter for Changes Including Removal of GP, Fund Terminations,...
United States SEC Requires Large Hedge Funds to File Within 72...
United States SEC Requires Large Hedge Funds to File Within 72 Hours for Extraordinary Investment Losses, Material Changes including Margin, Defaults, Prime Broker Relationships,...
United States SEC Charged Crypto Asset Trading Platform Bittrex & Co-Founder...
United States SEC Charged Crypto Asset Trading Platform Bittrex & Co-Founder for Operating Unregistered Securities Exchange, Broker & Clearing Agency, Earned $1.3 Billion in...
United States SEC Fines Robo-Advisor Betterment $9 Million for Material Misstatements...
United States SEC Fines Robo-Advisor Betterment $9 Million for Material Misstatements Impacting 25,000 Accounts & Losing $4 Million in Potential Tax Benefits
19th April 2023...
