On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...

On Tuesday, the SEC filed a complaint in the D.C. federal district court alleging that Elon Musk ignored the Section 13(d) beneficial ownership reporting deadline when, in March 2022, he acquired more ...

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...

You're currently following this author! Want to unfollow? Unsubscribe via the link in your email. Follow Katherine Tangalakis-Lippert Every time Katherine publishes a story, you’ll get an alert ...

The US Securities and Exchange Commission has said it doesn't intend to refile its securities fraud complaint against Hex founder Richard Schueler, who goes by Richard Heart. “Plaintiff Securities and ...

Learn how SEC Form 424B4 plays a crucial role in initial public offerings by detailing important information from previous SEC filings, ensuring transparency and investor confidence.

The U.S. Securities and Exchange Commission (SEC) filed suit against an alleged crypto pyramid scheme, NovaTech, and eight of its promoters on Monday, charging them with fraud and multiple violations ...

The Securities and Exchange Commission on Friday issued an order directing U.S. stock exchanges and the Financial Industry Regulatory Authority to file a new national market system plan, or NMS plan, ...

The lawsuit against Ripple, filed by the United States Securities and Exchange Commission in December 2020, is finally wrapping up. Ripple and the United States Securities and Exchange Commission (SEC ...