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.
LPL Financial settles SEC anti-money laundering charges for $18 million
The Securities and Exchange Commission (SEC) has announced charges against broker-dealer and investment adviser LPL Financial ...
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SEC sanctions Robinhood violations
A pair of broker-dealers that operate under the Robinhood name are being sanctioned by the U.S. Securities and Exchange Commission (SEC) for a series of regulatory violations, including alleged ...
SEC’s Gensler not backing down from crypto crackdown as he exits: 'I feel very good about what we’ve done'
Securities and Exchange Commission chair Gary Gensler is not backing down from his views about the cryptocurrency industry as ...
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 ...
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SEC sues Elon Musk, accusing him of withholding info that cost Twitter investors millions
The Securities and Exchange Commission on Tuesday filed a lawsuit against Elon Musk, alleging the X owner misled shareholders about his Twitter stock purchases in 2022. The suit alleges Musk ...