The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and ...
On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...
October 25, 2023 - Since the implementation of the Securities and Exchange Commission's Whistleblower Program under Section 922 of the Dodd-Frank Act in 2011, the SEC has awarded over $1 billion to ...
The lawsuit against Ripple, filed by the United States Securities and Exchange Commission in December 2020, is finally wrapping up. Ripple and the United States Securities and Exchange Commission (SEC ...
The long-running legal battle between the U.S. Securities and Exchange Commission (SEC) and Ripple Labs has taken a significant turn, with both sides filing a joint motion to hold the ongoing appeal ...
The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...
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The US Securities and Exchange Commission has filed its arguments appealing a federal court judge’s ruling in its partially failed case against Ripple Labs — which has been slammed by the company’s ...
Washington, D.C.--(Newsfile Corp. - February 1, 2022) - The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a ...
The complaint brings one claim against Musk, alleging he violated federal securities law by failing to properly disclose that as of March 14, 2022, he owned more than 5% of Twitter's outstanding ...
The Securities and Exchange Commission (SEC) filed a lawsuit last week against a company and a specific business deal that directly involves President Biden’s younger brother, James Biden. The ...
NEW YORK (Reuters) - A federal judge on Monday rejected a request by Goldman Sachs Group Inc's Fabrice Tourre to dismiss a U.S. Securities and Exchange Commission fraud lawsuit, three-and-a-half ...
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