U.S. authorities are investigating whether executives have been gaming prearranged stock-sale programs designed to thwart the possibility of insider trading, Bloomberg News reported on Thursday citing people…
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…
Mattel, a toymaker, agrees to pay $3.5 million to resolve SEC complaints
The U.S. Securities and Exchange Commission (SEC) announced on Friday that California-based toymaker Mattel Inc has agreed to pay $3.5 million to resolve allegations of…
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…
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…
Gol Airlines will pay $41.5 million to settle bribery charges
Settlements stem from a decade-old scheme to pay $3.8 million in bribes to secure legislation with tax benefits for the São Paulo-based airline One of…