Tag: United States SEC
United States SEC Fines FTX Auditor Prager Metis CPAs $1.95 Million...
United States SEC Fines FTX Auditor Prager Metis CPAs $1.95 Million for Misconduct & Misrepresentation of Compliance with Audit Standards for FTX from 2021...
United States SEC Charged 5 Entities & 3 Individuals Involved in...
United States SEC Charged 5 Entities & 3 Individuals Involved in 2 Investment Scams via Fake Crypto Asset Trading Platforms NanoBit & CoinW6, NanoBit...
United States SEC Charged 11 & Fined 9 Institutional Investment Managers...
United States SEC Charged 11 & Fined 9 Institutional Investment Managers $3.4 Million for Failure to File Forms 13F for Having Discretion Over $100...
United States SEC Fines Biotech Company Zymergen $30 Million for Misleading...
United States SEC Fines Biotech Company Zymergen $30 Million for Misleading IPO Investors Including on Products & Revenue, Raised $530 Million in 2021 IPO...
United States SEC Settles StraightPath Venture Partners Fraud Charges with $2.8...
United States SEC Settles StraightPath Venture Partners Fraud Charges with $2.8 Million Fine & Disgorgement for Unauthorised Selling Shares of Pre-IPO Companies, Raised $17...
United States SEC Charged 3 Executives of Defunct Digital Pharmacy Start-Up...
United States SEC Charged 3 Executives of Defunct Digital Pharmacy Start-Up Medly Health with Fraud in Raising $170 Million from Investors by Providing Overstated...
United States SEC Fines Online Trading Platform eToro $1.5 Million for...
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...
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...
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...
United States SEC Fines 7 Firms $3 Million for Preventing Whistleblowers from Reporting Potential Misconduct, 7 Firms are Acadia Healthcare, Brands Holding, AppFolio, IDEX...
