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…
VMware pays $8 million to settle SEC allegations claiming the company deceived investors
VMware agreed to pay the Securities and Exchange Commission (SEC) $8 million to settle allegations that it distorted its backlog reporting to conceal poor financial…
AT&T’s request to dismiss SEC lawsuit over leaks to analysts dismissed by US judge
On Thursday, a U.S. judge denied AT&T Inc’s request to dismiss a Securities and Exchange Commission complaint accusing the phone company of selectively leaking financial…
SEC boosts incentives for whistleblowers
The Securities and Exchange Commission (SEC) authorized changes to whistleblower rules aimed at increasing incentives in a program that has rewarded more than $1.3 billion…