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

SEC Chair Gary Gensler, during a congressional hearing Tuesday, came under fire from Republicans asserting that he should use regulation more than enforcement to correct company record-keeping.

The United States Securities and Exchange Commission (SEC) settled charges against TrueCoin and TrustToken for fraudulent and unregistered sales of investment contracts involving the TrueUSD ...

The SEC charged 12 municipal advisory firms with recordkeeping violations. They agreed to pay a collective $1.3 million to resolve the charges. All the firms violated MSRB Rules G-44 on ...

Quick Take: The SEC recently announced settled charges against a registered investment adviser for overvaluing approximately 4,900 largely illiquid collateralized mortgage obligations (CMOs ...

In a civil complaint filed Tuesday in U.S. District Court in Tennessee, the SEC alleges Wright and his registered investment advisory firm, Retirement Specialty Group Inc., recommended and sold ...

Since December 2021, the SEC has settled charges with more than 100 firms and resulting in more than $2 billion in penalties for failures to maintain and preserve electronic communications ...

Cassava Sciences (NASDAQ:SAVA) has agreed to pay $40M to settle charges by the U.S. Securities and Exchange Commission (SEC) that the drug developer made misleading claims about the 2020 trial ...

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 ...

The president of a St. Petersburg real estate investment firm agreed to a fine to settle charges by the U.S. Securities ... to a request for comment. The SEC charged nine other individuals for ...

The Securities and Exchange Commission announced registered investment adviser Macquarie Investment Management Business Trust (MIMBT) will pay a total of $79.8 million to settle charges for ...

and former Senior VP of Neuroscience Lindsay Burns have agreed to pay over $40 million to resolve SEC charges over misleading statements related to a Phase 2 trial of the company’s controversial ...