Tag: United States SEC
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106...
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106 Million Settlement for Misleading Statements on Capital Gains Distributions & Tax to Retail...
United States SEC Fines 3 Investment Advisors $540,000 for Acting as...
United States SEC Fines 3 Investment Advisors $540,000 for Acting as Unregistered Brokers for StraightPath Venture Partners in Selling Shares of Pre-IPO Companies &...
United States SEC Fines 12 Financial Firms $63.1 Million for Using...
United States SEC Fines 12 Financial Firms $63.1 Million for Using Unapproved Off-Channel Communications, Maintaining & Preserving Electronic Communications, 12 Firms Fined are 3...
United States SEC Fines Commission-Free Brokerage Robinhood Broker-Dealers $45 Million for...
United States SEC Fines Commission-Free Brokerage Robinhood Broker-Dealers $45 Million for Multiple Failures Including Failing to Investigate & File Suspicious Transactions, Adequately Protect Customers...
United States SEC Fines ex-President & CIO of Public-Listed Company Alfred...
United States SEC Fines ex-President & CIO of Public-Listed Company Alfred V. Tobia Jr & Sister-in-Law Elizabeth Lee $1.36 Million for Insider Trading in...
United States SEC Fines BMO Capital Markets $40 Million in Penalty,...
United States SEC Fines BMO Capital Markets $40 Million in Penalty, Disgorgement & Prejudgement Interest for Failing to Supervise Employees in Selling $3 Billion...
United States SEC Fines Alternative Trading Systems Operator Liquidnet $5 Million...
United States SEC Fines Alternative Trading Systems Operator Liquidnet $5 Million for Failure to Protect Confidential Subscriber Trading Information, Non-Disclosures & Inappropriate Credit Thresholds...
United States SEC Fines Billionaire & WWE Co-Founder, ex-CEO & Vince...
United States SEC Fines Billionaire & WWE Co-Founder, ex-CEO & Vince McMahon $400,000 & $1.3 Million Reimbursement to WWE for Failure to Disclose Material...
Terraform Labs & South Korean Co-founder Do Kwon Pleads Not Guilty...
Terraform Labs & South Korean Co-founder Do Kwon Pleads Not Guilty in United States Court Trial for Fraud Charges, Misleading Investors in Collapse of...
Nasdaq SPAC-Listed Energy Company Brooge Energy Shareholders File Lawsuit Against Audit...
Nasdaq SPAC-Listed Energy Company Brooge Energy Shareholders File Lawsuit Against Audit Firm EY for Fraud in 2019 IPO with $1 Billion Valuation by Providing...
