Tag: United States SEC
United States SEC Fines Jump Trading Subsidiary Tai Mo Shan $123...
United States SEC Fines Jump Trading Subsidiary Tai Mo Shan $123 Million for Negligently Misleading Investors on Stability of Terra USD & as Underwriter...
United States SEC Charged Silver Point Capital for Failure to Implement...
United States SEC Charged Silver Point Capital for Failure to Implement Policies to Prevent Misuse of Material Non-Public Information Resulting in Silver Point Capital...
United States SEC Fines Deutsche Bank Securities $4 Million for Failure...
United States SEC Fines Deutsche Bank Securities $4 Million for Failure to File Suspicious Report on Time from 2019 to 2024 with 2 Incidents...
United States SEC Fines Wells Fargo $900,000 for Failure to Provide...
United States SEC Fines Wells Fargo $900,000 for Failure to Provide Complete & Accurate Securities Trading Information (Blue Sheet Data), Wells Fargo Clearing 11,195...
United States SEC Fines $32 Billion Energy & Utility Giant $12...
United States SEC Fines $32 Billion Energy & Utility Giant $12 Million Entergy Corp for Failure to Maintain Internal Accounting Controls to Ensure Surplus...
United States SEC Fines Aerospace Company AAR Corp $30 Million to...
United States SEC Fines Aerospace Company AAR Corp $30 Million to Resolve 2 Bribery Schemes from 2015 to 2018 to Win $210 Million Contract...
United States SEC Fines $65 Billion Medical Device Manufacturer Becton, Dickinson...
United States SEC Fines $65 Billion Medical Device Manufacturer Becton, Dickinson & Co $175 Million for Repeatedly Misleading Investors on Risks of Continued Sales...
United States SEC Fines Brokerage & Investment Bank Cantor Fitzgerald $6.75...
United States SEC Fines Brokerage & Investment Bank Cantor Fitzgerald $6.75 Million for Causing 2 SPACs to Provide Misleading Statements to Investors Before IPOs...
United States SEC Charged ex-Chair, President & CEO of Comtech Telecommunications...
United States SEC Charged ex-Chair, President & CEO of Comtech Telecommunications Corp Ken Peterman for Insider Trading to Sell Comtech Shares after Being Terminated...
United States SEC Charged 3 Individuals in Nigeria for Fraud by...
United States SEC Charged 3 Individuals in Nigeria for Fraud by Impersonating Securities Brokers & Investment Advisors Stealing $2.9 Million from 28 Investors from...
