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Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading
September 28, 2018The Securities and Exchange Commission today announced settled charges against clearing firm COR Clearing LLC for failing to report suspicious[...]
Read ArticleCredit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer Orders
September 28, 2018The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC has agreed to settle charges brought by[...]
Read ArticleCharges LendingClub Asset Management and Former Executives With Misleading Investors and Breaching Fiduciary Duty
September 28, 2018The Securities and Exchange Commission today charged San Francisco-based LendingClub Asset Management LLC (formerly known as LendingClub Advisors LLC) and[...]
Read ArticleSEC Charges Stryker A Second Time for FCPA Violations
September 28, 2018The Securities and Exchange Commission today charged Stryker Corp. with violating the books and records and internal accounting controls provisions[...]
Read ArticleSEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel
September 28, 2018The Securities and Exchange Commission today charged Salix Pharmaceuticals Ltd. and its former CFO with repeatedly misleading analysts and investors[...]
Read ArticleSEC Charges Walgreens and Two Former Executives With Misleading Investors About Forecasted Earnings Goal
September 28, 2018The Securities and Exchange Commission today charged Walgreens Boots Alliance Inc., former CEO Gregory Wasson, and former CFO Wade Miquelon[...]
Read ArticleElon Musk Charged with Securities Fraud for Misleading Tweets
September 27, 2018The Securities and Exchange Commission today charged Elon Musk, CEO and Chairman of Silicon Valley-based Tesla Inc., with securities fraud for[...]
Read ArticleSEC Charges Bitcoin-Funded Securities Dealer and CEO
September 27, 2018The Securities and Exchange Commission today filed charges against an international securities dealer and its Austria-based CEO for allegedly violating[...]
Read ArticleLacey Dingman, Chief Human Capital Officer and Director of Human Resources, to Leave SEC
September 27, 2018The Securities and Exchange Commission today announced that Lacey Dingman, the Chief Human Capital Officer (CHCO) and Director of the[...]
Read ArticleOnline Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials
September 27, 2018The Securities and Exchange Commission today charged a group of internet marketers who allegedly created and disseminated elaborate rags-to-riches videos[...]
Read ArticlePetrobras Reaches Settlement With SEC for Misleading Investors
September 27, 2018The Securities and Exchange Commission today charged Brazilian oil-and-gas company Petróleo Brasileiro S.A. with misleading U.S. investors by filing false[...]
Read ArticleSEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule
September 26, 2018The Securities and Exchange Commission today announced that it has voted to propose rule amendments to codify an existing temporary[...]
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