SEC to Focus on Empowering Main Street Investors for 2018 World Investor Week
The Securities and Exchange Commission today announced that empowering Main Street investors will be the SEC’s focus during World Investor Week, which…
Stocks
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Elon Musk Settles SEC Fraud Charges; Tesla Charged With and Resolves Securities Law Charge
The Securities and Exchange Commission announced today that Elon Musk, CEO and Chairman of Silicon Valley-based Tesla Inc., has agreed to settle…
Banking
FDIC Makes Public August Enforcement Actions — 2018-09-28
; No Administrative Hearings Scheduled for October 2018 The Federal Deposit Insurance Corporation (FDIC) today released a list of orders of administrative…
Stocks
Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading
The Securities and Exchange Commission today announced settled charges against clearing firm COR Clearing LLC for failing to report suspicious sales of…
Stocks
Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer Orders
The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC has agreed to settle charges brought by the SEC…
Investing
SEC Charges LendingClub Asset Management and Former Executives With Misleading Investors and Breaching Fiduciary Duty
The Securities and Exchange Commission today charged San Francisco-based LendingClub Asset Management LLC (formerly known as LendingClub Advisors LLC) and its former…
Stocks
SEC Charges Stryker A Second Time for FCPA Violations
The Securities and Exchange Commission today charged Stryker Corp. with violating the books and records and internal accounting controls provisions of the…
Stocks
SEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel
The Securities and Exchange Commission today charged Salix Pharmaceuticals Ltd. and its former CFO with repeatedly misleading analysts and investors about the…
Stocks
SEC Charges Walgreens and Two Former Executives With Misleading Investors About Forecasted Earnings Goal
The Securities and Exchange Commission today charged Walgreens Boots Alliance Inc., former CEO Gregory Wasson, and former CFO Wade Miquelon with misleading…
Stocks
Elon Musk Charged With Securities Fraud for Misleading Tweets
The Securities and Exchange Commission today charged Elon Musk, CEO and Chairman of Silicon Valley-based Tesla Inc., with securities fraud for a…
Crypto
SEC Charges Bitcoin-Funded Securities Dealer and CEO
The Securities and Exchange Commission today filed charges against an international securities dealer and its Austria-based CEO for allegedly violating the federal…
Stocks
Lacey Dingman, Chief Human Capital Officer and Director of Human Resources, to Leave SEC
The Securities and Exchange Commission today announced that Lacey Dingman, the Chief Human Capital Officer (CHCO) and Director of the Office of…
Stocks
Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials
The Securities and Exchange Commission today charged a group of internet marketers who allegedly created and disseminated elaborate rags-to-riches videos to trick…
Stocks
Petrobras Reaches Settlement With SEC for Misleading Investors
The Securities and Exchange Commission today charged Brazilian oil-and-gas company Petróleo Brasileiro S.A. with misleading U.S. investors by filing false financial statements…
Stocks
SEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule
The Securities and Exchange Commission today announced that it has voted to propose rule amendments to codify an existing temporary exemption for…
Stocks
SEC Charges Firm With Deficient Cybersecurity Procedures
The Securities and Exchange Commission today announced that a Des Moines-based broker-dealer and investment adviser has agreed to pay $1 million to…
Stocks
SEC Charges Former CEO of Chilean-Based Chemical and Mining Company With FCPA Violations
The Securities and Exchange Commission today announced that the former CEO of Chilean-based chemical and mining company Sociedad Química y Minera de…
Stocks
SG Americas Securities Charged for Improper Handling of ADRs
The Securities and Exchange Commission today announced that SG Americas Securities LLC will pay more than $800,000 to settle charges of improper…
Stocks
SEC Staff to Host Roundtable on Market Data and Market Access
The Securities and Exchange Commission announced today that its Division of Trading and Markets will host a two-day roundtable on October 25…
Stocks
SEC Awards Almost $4 Million to Overseas Whistleblower
The Securities and Exchange Commission today announced that it has awarded nearly $4 million to an overseas whistleblower whose tip led it…
Investing
State Employment and Unemployment (Monthly) News Release — 2018-09-21
Unemployment rates were lower in August in 13 states, higher in 3 states, and stable in 34 states and the District of…
Banking
Joint Release/Agencies Approve Amendments to Swap Margin Rule — 2018-09-21
WASHINGTON—Five federal agencies approved final amendments to swap margin requirements to conform with recent rule changes that impose new restrictions on certain…
Stocks
SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
The Securities and Exchange Commission today announced that an Illinois-based regional center, its CEO, and 37 affiliated limited partnerships have agreed to…
Stocks
Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations
The Securities and Exchange Commission today announced charges against five public companies for failing to provide financial statements that were reviewed by…