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Last updated about 2 hours ago
SEC Charges Advisory Firm Macquarie Investment Management Business Trust with Fraud
about 3 hours ago
The Securities and Exchange Commission today announced registered investment adviser Macquarie Investment...
SEC Charges Advisory Firm Inspire Investing With Misleading Investors Regarding its Investment Strategy
about 4 hours ago
The Securities and Exchange Commission today charged Idaho-based investment adviser Inspire Investing...
SEC Charges DeFi Platform Rari Capital and its Founders With Misleading Investors and Acting as Unregistered Brokers
about 24 hours ago
The Securities and Exchange Commission today announced settled charges against Rari Capital...
SEC Adopts Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders
1 day ago
The Securities and Exchange Commission today adopted amendments to certain rules under...
SEC Charges Broker-Dealer First Horizon With Regulation Best Interest Violations
1 day ago
The Securities and Exchange Commission today announced charges against registered broker-dealer First...
SEC Charges 11 Institutional Investment Managers with Failing to Report Certain Securities Holdings
2 days ago
The Securities and Exchange Commission today announced charges against 11 institutional investment...
SEC Charges Multiple Individuals and Entities in Relationship Investment Scams
2 days ago
The Securities and Exchange Commission today charged five entities and three individuals...
Audit Firm Prager Metis Settles SEC Charges for Negligence in FTX Audits and for Violating Auditor Independence Requirements
2 days ago
The Securities and Exchange Commission today announced that Prager Metis CPAs, LLC...
SEC Charges 12 Municipal Advisors With Recordkeeping Violations
2 days ago
The Securities and Exchange Commission today announced charges against 12 municipal advisors...
SEC Charges Former Chairman and CEO of Tech Co. Kubient With Fraud and Lying to Auditors
3 days ago
The Securities and Exchange Commission today filed charges against Paul D. Roberts...
SEC Charges Former Financial Consultant for Providing Father and Friends Inside Information Regarding Firm’s Client
6 days ago
The Securities and Exchange Commission today charged Federico Nannini, his father, and...
SEC Charges Zymergen Inc. With Misleading IPO Investors About Company’s Market Potential and Sales Prospects
6 days ago
The Securities and Exchange Commission today announced settled charges against Zymergen Inc...