Tag: United States SEC
United States SEC Fines – Hydrogen Vehicle Company Hyzon Motors &...
United States SEC Fines - Hydrogen Vehicle Company Hyzon Motors & Executives Fined $25.3 Million for Fraud & Misleading Investors with Non-Existent Hydrogen Power...
United States SEC Fines Energy & Technology Group Monolith Resources $225,000...
United States SEC Fines Energy & Technology Group Monolith Resources $225,000 for Using Employee Separation Agreement to Waive Rights to Whistleblower Awards Related to...
United States SEC Fines $54 Billion 3M Company $6.5 Million for...
United States SEC Fines $54 Billion 3M Company $6.5 Million for Violating Foreign Corrupt Practices Act, China Subsidiary Paid $1 Million for More than...
United States SEC Fines Wells Fargo $35 Million & to Pay...
United States SEC Fines Wells Fargo $35 Million & to Pay 10,900 Investment Advisory Account Holders $40 Million for Overcharging $26.8 Million in Advisory...
United States SEC Fines Audit Firm Crowe UK, CEO & Senior...
United States SEC Fines Audit Firm Crowe UK, CEO & Senior Auditor $785,000 for Audit Violations of SPAC Music Streaming Company Akazoo, Negligible Revenue...
United States SEC Fines 11 Firms $289 Million for Record Keeping...
United States SEC Fines 11 Firms $289 Million for Record Keeping Failures & Using Off-Channel Communications Including iMessage, Whatsapp & Signal Since 2019, Firms...
United States SEC Charged Crypto Asset Hex Founder Richard Heart for...
United States SEC Charged Crypto Asset Hex Founder Richard Heart for Securities Violation & Fraud, Raised $1 Billion from Investors & Used $12 Million...
United States SEC Awards $104 Million to 7 Whistleblowers, Issued Largest-ever...
United States SEC Awards $104 Million to 7 Whistleblowers, Issued Largest-ever Payout of $279 Million to Whistleblower in 2023 May Which Helped Recovered $4...
United States SEC Fines Digital World SPAC $18 Million for Failing...
United States SEC Fines Digital World SPAC $18 Million for Failing to Disclose Plan to Acquire Trump Media & Technology Group Corp Prior to...
United States SEC Amends $6 Trillion Money Market Funds Rules, Prohibits...
United States SEC Amends $6 Trillion Money Market Funds Rules, Prohibits Suspension of Money Market Funds Redemptions to Protect Investors and to Require Charging...
