Browse Feed Entries By Tag: home page
The Securities and Exchange Commission today charged California-based Wells Fargo & Co.for misleading investors about the success of its core business strategy at a time when it was opening fake accounts for unknowing customers and sellingSource: Securities Exchange Commission
4 days ago · From Securities Exchange Commission
The Securities and Exchange Commission today announced settled charges against blockchain technology startup Enigma MPC for conducting an unregistered offering of securities in the form of an initial coin offering (ICO). Enigma, based in San FranciscoSource: Securities Exchange Commission
6 days ago · From Securities Exchange Commission
The Securities and Exchange Commission announced charges against alcohol producer Diageo plc for failing to make required disclosures of known trends relating to the shipments of unneeded products by its North American subsidiary to distributors.Source: Securities Exchange Commission
6 days ago · From Securities Exchange Commission
The Securities and Exchange Commission today announced an emergency enforcement action and a temporary restraining order and asset freeze against Florida-based private real estate firm EquiAlt LLC, its CEO Brian Davison, and its Managing Director BarrySource: Securities Exchange Commission
7 days ago · From Securities Exchange Commission
The Securities and Exchange Commission today proposed to modernize the infrastructure for the collection, consolidation, and dissemination of market data for exchange-listed national market system (NMS) stocks. The proposal would update and expandSource: Securities Exchange Commission
11 days ago · From Securities Exchange Commission
The Securities and Exchange Commission today filed charges against an Ohio-based businessman who allegedly orchestrated a digital asset scheme that defrauded approximately 150 investors, including many physicians. The SEC alleges that Michael W.Source: Securities Exchange Commission
14 days ago · From Securities Exchange Commission
The Securities and Exchange Commission today announced that ABN AMRO Clearing Chicago LLC will pay more than $586,000 to settle charges of improper handling of pre-released American Depositary Receipts (ADRs). ADRs are U.S. securities that representSource: Securities Exchange Commission
06.02.2020 · From Securities Exchange Commission
(function($){ $(document).ready(function() { $(".submitcommentslink").each(function(idx, lnk) { $(lnk).click(function(e) { e.preventDefault(); $(".comment-form").submit(); }); }); }); })(jQuery); The SecuritiesSource: Securities Exchange Commission
06.02.2020 · From Securities Exchange Commission
Yesterday evening, jurors in Boston federal court returned a verdict finding that Lexington, Massachusetts restauranteur Charlie Chen engaged in illegal insider trading in advance of five earnings announcements of Lexington-based company Vistaprint, N.VSource: Securities Exchange Commission
04.02.2020 · From Securities Exchange Commission
On Wednesday, Jan. 29, the Securities and Exchange Commission charged a Pennsylvania man with defrauding Amish and Mennonite community members by making false claims about the use of their funds and guaranteed returns. According to the SECs complaint,Source: Securities Exchange Commission
31.01.2020 · From Securities Exchange Commission
The Securities and Exchange Commission today announced that it has voted to propose amendments to modernize, simplify, and enhance certain financial disclosure requirements in Regulation S-K.The proposed amendments would eliminate duplicativeSource: Securities Exchange Commission
30.01.2020 · From Securities Exchange Commission
Five federal financial regulatory agencies on Thursday invited public comment on a proposal to modify regulations implementing the Volcker rules general prohibition on banking entities investing in or sponsoring hedge funds or private equity funds Source: Securities Exchange Commission
30.01.2020 · From Securities Exchange Commission
The Securities and Exchange Commission today released theagendafor the Tuesday, Feb. 4 meeting of its Small Business Capital Formation Advisory Committee.During the meeting, the committee will continue to explore funding gaps thatSource: Securities Exchange Commission
28.01.2020 · From Securities Exchange Commission
The Securities and Exchange Commission today announced charges against a New York-based investment adviser for misleading investors about the management of riskin a mutual fund.Catalyst Capital Advisors LLC (CCA) and its President and ChiefSource: Securities Exchange Commission
27.01.2020 · From Securities Exchange Commission
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