United States SEC Fines Online Trading Platform eToro $1.5 Million for Providing Unauthorised Securities in Crypto Assets & to Provide Only Bitcoin, Bitcoin Cash...
United States SEC Fines Deere & Company (John Deere) $10 Million for Violating Foreign Corrupt Practices Act (FCPA) by Bribing Thailand Government Officials to...
United States SEC Fines 9 Investment Advisory Firms $1.24 Million for Violating Marketing Rule with Misleading or Insufficient Disclosure on Advertisements, 9 Firms are...
United States SEC Fines 7 Firms $3 Million for Preventing Whistleblowers from Reporting Potential Misconduct, 7 Firms are Acadia Healthcare, Brands Holding, AppFolio, IDEX...
United States SEC Fines Esmark Inc and Founder & Chairman James Bouchard $600,000 for False Announcement to Buy U.S. Steel for $7.8 Billion Including...
United States SEC Fines 6 Credit Rating Agencies $49 Million for Failure to Keep Communication Records, 6 Credit Rating Agencies are Moody’s, S&P Global...
United States SEC Fines & Charges: 1) Fines Galois Capital Management $225,000 for Failure to Safeguard Crypto Assets for Clients & Misled Investors on...
United States SEC Charged China-Based Investment Firm QZ Asset Management (Qianze), United States-Based QZ Global & CEO Blake Yeung Pu Lei (Yang Pulei) for...
United States SEC Fines Navy Shipbuilder Austal $24 Million for Fraud in Revenue Recognition & Artificially Reducing Cost Estimates to Meet Financial Projections, 3...
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