SEC enforcement blitz targets 7 financial firms as Biden administration winds down
The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.
Vanguard fined more than $100 million by SEC over violations involving target date retirement funds
The violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its institutional target ...
Digital Currency Group, former Genesis CEO to pay $38.5 million over SEC charges
The U.S. Securities and Exchange Commission on Friday said Digital Currency Group Inc. and the CEO of its now-defunct ...
Wells Fargo firms, Merrill Lynch to pay $60 mln to settle SEC charges
The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...
Vanguard to pay $106 million in SEC accord after saddling investors with big tax bills
Vanguard Group will pay $106.4 million to settle U.S. Securities and Exchange Commission charges alleging it failed to ...
DCG Pays $38 Million Fine to Settle SEC Investigation
Crypto company Digital Currency Group agreed to pay a $38 million fine to settle with the Securities and Exchange Commission ...
Robinhood Is Fined $45 Million Over a New Set of Securities Violations
The upstart brokerage agreed to pay the Securities and Exchange Commission for failing to protect sensitive customer data, ...
SEC sues Musk, alleging Twitter-related securities violation
The Securities and Exchange Commission (SEC) has sued tech billionaire Elon Musk, alleging he committed securities fraud by ...
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US Securities and Exchange Commission’s lawsuit against Elon Musk explored as X CEO is accused of non-disclosure of the app’s stock purchase
The Security and Exchange Commission (SEC) filed a lawsuit against Elon Musk, owner of social media giant X (formerly known ...
SEC sues Elon Musk, accusing him of withholding info that cost Twitter investors millions
The SEC has sued billionaire X owner Elon Musk, alleging he failed to disclose his ownership of Twitter stock in a timely ...
SEC charges La Jolla’s LPL Financial with anti-money laundering violations
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...
What The Response To SEC Cybersecurity Oversight Says About The Need For A New Security Paradigm
The flurry of filings has underscore​d​ how vulnerable we all are—and the urgency for a different approach to protection.