Cassava and former executives were charged Thursday by the SEC with making misleading claims in 2020 about trials for the ...

On September 16, 2024, the Securities and Exchange Commission (SEC) filed civil charges against former CEO Paul D. Roberts, former Chief Financial Officer Joshua A. Weiss, and former Audit ...

The software company co-founder allegedly raised more than $30 million by falsely claiming the company had millions of ...

The Securities and Exchange Commission announced charges on Tuesday against 12 financial firms for ... agreed to pay combined civil penalties totaling $88.2 million, according to the SEC. The SEC’s ...

The SEC charges DraftKings with selectively disclosing nonpublic information to investors who followed the company CEO’s social accounts. DraftKings agrees to pay a $200,000 civil penalty to ...

The U.S. Securities and Exchange Commission's wide-sweeping investigation into recordkeeping violations resulted in a crop of charges against ... settle the matter, the SEC said on Tuesday.

Shares of Cassava Sciences Inc. dropped more than 10% in the extended session Thursday after announcing a settlement with U.S ...

The SEC also charged Hoau-Yan Wang ... Wang, while neither admitting nor denying the charges, agreed to cease future violations and pay a $50,000 fine. In July, CEO Rick Barry wrote a letter ...

Merrill Lynch, Pierce, Fenner & Smith Inc. and Harvest Volatility Management LLC have agreed to pay a combined $9.3 million ...

In the complaint, which was filed in the U.S. District Court for the Northern District of California, the SEC outlined two main ... that amounted to annual charges of $480,000.

Alphabet , Goldman Sachs and a group of other firms agreed to pay a combined $3.8 million in penalties to settle U.S.

The company said it cooperated with the SEC's investigation and "implemented ... it does not anticipate the DOJ will bring criminal charges or seek resolution with Cassava. Cassava maintained ...