Tag: SEC
Gensler Stands Up for the Robinhood Gang
Former HeadSpin CEO Arrested in Alleged $80 Million Fraud
SEC Settles With Eight Firms Over Inadequate Cybersecurity Measures
The regulator alleges a lack of safeguards exposed the personal information of thousands of clients.
SEC Charges Could Open Pearson to Securities Lawsuits
With the cease-and-desist order, attorneys might take aim at the publisher over alleged misleading statements.
‘Crypto Mom’ Pushes Back Against SEC Over Poloniex Fine
Group Charged With Sophisticated Global Pump-and-Dump Conspiracy
US authorities allege a Canadian-led group made tens of millions of dollars in penny stock scams dating back a decade.
Good SPAC, Bad SPAC: How the Jiffy IPO Method Is Regaining Favor
Ever since the SEC’s spring crackdown, these once-popular investments have wilted. But their excesses are being leached away.
Think Before You Tweet: Charges Against Milton Should Be a Warning
The Nikola founder could face decades in prison for allegedly false, misleading Twitter posts.
CEO Charged in Multimillion Dollar Fraud Involving Two Firms
Aron Govil allegedly siphoned $7 million from Cemtrex and Telidyne investors for personal use.
CEO, CTO Accused of Misleading Investors on COVID-19 Test
Parallax Health Sciences and the two executives settled charges related to claims the company made about a coronavirus screening test.
SEC Mulls New Sustainable Fund Disclosure Rules
The regulator’s chief says he’s concerned about the greenwashing of ESG investments.
SEC, DOJ Charge Hedge Fund Trader in Alleged Front-Running Scheme
SEC Obtains Asset Freeze to Stop Alleged Cherry-Picking Scheme
A Miami-based investment adviser is accused of channeling millions in trading profits to his parents’ accounts.
ESG Disclosure Bill Passes House by One Vote
It would require companies to reveal how environmental, social, and governance metrics affect their business strategy.