Tag: Securities & Exchange Commission
United States SEC Fines JP Morgan Fines $4 Million for Permanently...
United States SEC Fines JP Morgan Fines $4 Million for Permanently Deleting 47 Million Business Emails of 7,500 Employees Required to Stored for 3...
United States SEC Fines $75 Billion Private Equity Firm Insight Venture...
United States SEC Fines $75 Billion Private Equity Firm Insight Venture Management $1.5 Million & Additional $864,958 Paid Back to the Funds for Charging...
United States SEC Fines $1.8 Trillion PIMCO $9 Million for Wrongly...
United States SEC Fines $1.8 Trillion PIMCO $9 Million for Wrongly Charging $27 Million Advisory Fees to Investors & Failure to Disclose Use of...
FTX Founder Sam Bankman-Fried Submits Court Filing to Withdraw 10 of...
FTX Founder Sam Bankman-Fried Submits Court Filing to Withdraw 10 of 13 Criminal Charges, Citing Unfair Government Intervention and Turning Civil & Regulatory Issues...
United States SEC Requires Private Equity Funds to File Within 60...
United States SEC Requires Private Equity Funds to File Within 60 Days of Every Fiscal Quarter for Changes Including Removal of GP, Fund Terminations,...
United States SEC Requires Large Hedge Funds to File Within 72...
United States SEC Requires Large Hedge Funds to File Within 72 Hours for Extraordinary Investment Losses, Material Changes including Margin, Defaults, Prime Broker Relationships,...
United States SEC Charged Crypto Asset Trading Platform Bittrex & Co-Founder...
United States SEC Charged Crypto Asset Trading Platform Bittrex & Co-Founder for Operating Unregistered Securities Exchange, Broker & Clearing Agency, Earned $1.3 Billion in...
United States SEC Fines Robo-Advisor Betterment $9 Million for Material Misstatements...
United States SEC Fines Robo-Advisor Betterment $9 Million for Material Misstatements Impacting 25,000 Accounts & Losing $4 Million in Potential Tax Benefits
19th April 2023...
United States SEC Charged Financial Education Student Website Frank Founder Charlie...
United States SEC Charged Financial Education Student Website Frank Founder Charlie Javice for Fraud in $175 Million Sale to JP Morgan in 2021, Claims...
FTX Founder Sam Bankman-Fried Pleads Not Guilty to Paying $40 Million...
FTX Founder Sam Bankman-Fried Pleads Not Guilty to Paying $40 Million to China Officials to Influence Unfreezing of $1 Billion Cryptocurrency & Breaching Foreign...
