A U.S. judge found on Monday that the firm sold its digital assets as securities, which gave the U.S. Securities and Exchange Commission the upper…
SolarWinds may face legal action from the U.S. SEC for its cyber disclosures
The software company SolarWinds Corp announced on Thursday that the U.S. Securities and Exchange Commission had recommended enforcement action against it for its public comments…
U.S. SEC accuses cannabis company Cronos and a former executive of accounting fraud
The Canadian cannabis business Cronos Group Inc. and its former chief commercial officer have been accused of accounting fraud, the U.S. Securities and Exchange Commission…
Credit Suisse pays $495 million to settle a legacy US complaint
Credit Suisse has agreed to pay $495 million to settle a complaint involving mortgage-linked investments in the United States, the latest settlement tied to previous…
The SEC’s deal with ex-Dewey law legal firm brings an end to an eight-year civil litigation
A federal judge in Manhattan has approved a settlement between the Securities and Exchange Commission and Joel Sanders, the former chief financial officer of the…
Barclays to Pay $200 Million SEC Penalty for Debt-Sale Error
The British bank accidentally sold $17.7 billion worth of unregistered securities Barclays agreed to pay a $200 million fee to settle SEC accusations stemming from…
The SEC has charged Kim Kardashian with illegally promoting cryptocurrency security
Kim Kardashian, who is charged with violating federal securities laws, has agreed to pay a $1 million fine to the S.E.C. The top financial regulator…
Boeing Will Pay $200 Million To End SEC Investigation Into 737 MAX Crashes
Securities regulator alleges plane maker, former CEO made misleading statements to investors about crashes and jet program Boeing Co. agreed to pay $200 million to…
Morgan Stanley will pay a $35 million fine to resolve SEC allegations that it mismanaged client data
The Securities and Exchange Commission announced Tuesday that a Morgan Stanley subsidiary has agreed to pay $35 million to settle claims that it consistently failed…
The SEC proposes that more Treasury trades be routed through clearinghouses
The measure comes amid broader concerns about the resilience of the $24 trillion Treasury market Regulators are working to reverse a decades-long shift away from…