The SEC charged five entities and three individuals involved in two "relationship investment" scams linked to fraudulent ...

A Macquarie Group investment adviser has agreed to pay $79.8 million to settle charges in connection with overvaluing ...

How much does shipping cost from Novatech? Novatech offers next day delivery for £5.99, and will charge you £12.58 for weekend delivery. If you want to pay nothing, you’ll have to collect your ...

The SEC alleges Kubient's two former execs and former audit committee chair artificially inflated the company's revenue and ...

The Securities and Exchange Commission today filed charges against Paul D. Roberts, the former Chair, CEO, and president of ...

Broker-dealer First Horizon Advisors, Inc has agreed to pay a civil penalty of $325,000 in connection with its ...

Renato Mariotti, a partner at Paul Hastings’s investigations and white-collar defense practice in the Am Law 50 firm’s Chicago office, is not involved in the SEC’s three-count fraud lawsuit ...

The US Securities and Exchange Commission (SEC) has fined Keurig Dr Pepper (KDP) $1.5m for “inaccurate” recyclability claims regarding its K-Cup beverage pods. In its annual reports for 2019 and 2020, ...

The SEC on Monday announced settled charges against nine firms of varying amounts for “disseminating advertisements that included untrue or unsubstantiated statements of material fact or testimonials, ...

The SEC said that under the settlements, companies Acadia Healthcare, a.k.a. Brands Holding, AppFolio, IDEX, LSB Industries, Smart for Life, and TransUnion agreed to pay individual civil penalties ...

Quick Take: The SEC announced that it had settled charges against a registered investment adviser (Adviser) for failing to establish, maintain, and enforce written policies and procedures ...