Tag: United States SEC
United States SEC Fines Morgan Stanley Smith Barney $15 Million for...
United States SEC Fines Morgan Stanley Smith Barney $15 Million for Failure to Reasonably Supervise 4 Investment Advisors & Representatives Who Stole Millions of...
United States SEC Settles Kiromic BioPharma Charges & Fined ex-CEO &...
United States SEC Settles Kiromic BioPharma Charges & Fined ex-CEO & CFO $145,000 for Misleading Investors on 2 Cancer Fighting Drug Candidates for Clinical...
United States SEC Settles Record Keeping Charges & Imposed No Fine...
United States SEC Settles Record Keeping Charges & Imposed No Fine Against China ICBC for 2023 Ransomware Attack, ICBC Failed to Keep Books &...
United States SEC Updates List of Unregistered Entities: 1,635 Firms Using...
United States SEC Updates List of Unregistered Entities: 1,635 Firms Using Misleading Information to Solicit Non-United States Investors
28th November 2024 | Hong Kong
The United...
United States SEC Enforcement Results 2024: Obtained $8.2 Billion Financial Remedies...
United States SEC Enforcement Results 2024: Obtained $8.2 Billion Financial Remedies with $2.1 Billion Fines & $6.1 Billion in Disgorgement & Prejudgement Interest, Filed...
United States SEC Fines United Parcel Service (UPS) $45 Million for...
United States SEC Fines United Parcel Service (UPS) $45 Million for Misrepresenting Earnings & Improperly Valuing Business Unit UPS Freight at $2 Billion Instead...
United States SEC Fines 3 Brokers-Dealers $275,000 for Failure to Include...
United States SEC Fines 3 Brokers-Dealers $275,000 for Failure to Include Information of Suspicious Funds from Illegal Activity in Suspicious Activity Reports, 3 Firms...
United States Department of Justice & SEC Fines Bit Mining (Previously...
United States Department of Justice & SEC Fines Bit Mining (Previously 500.com) $10 Million for Violating Foreign Corrupt Practices Act in $2.5 Million Bribery...
United States SEC Fines Invesco Advisors $17.5 Million for Misleading Statements...
United States SEC Fines Invesco Advisors $17.5 Million for Misleading Statements on AUM Integrating ESG Factors, Told Clients & Stated in Marketing Materials from...
United States SEC Fines JP Morgan $151 Million for Multiple Failures...
United States SEC Fines JP Morgan $151 Million for Multiple Failures Including Misleading Disclosures to Investors, Breach of Fiduciary Duty, Prohibiting Joint Transactions &...
