United States SEC Fines PMAC Consulting & Paul John McCabe Jr $3 Million for Illegally Brokering Pre-IPO Shares & Received $16 Million in Compensation...
United States SEC Fines e-Commerce Food Company GrubMarket $8 Million for Providing Unreliable Financial Information Overstating Revenue by $550 Million Over 5 Years &...
United States SEC Fines Hedge Fund Two Sigma $90 Million for Failure in Fiduciary Duties to Address Identified Vulnerabilities in Investment Models for 4...
United States SEC Fines 2nd Largest Asset Manager Vanguard in $106 Million Settlement for Misleading Statements on Capital Gains Distributions & Tax to Retail...
United States SEC Fines 3 Investment Advisors $540,000 for Acting as Unregistered Brokers for StraightPath Venture Partners in Selling Shares of Pre-IPO Companies &...
United States SEC Fines 12 Financial Firms $63.1 Million for Using Unapproved Off-Channel Communications, Maintaining & Preserving Electronic Communications, 12 Firms Fined are 3...
United States SEC Fines Commission-Free Brokerage Robinhood Broker-Dealers $45 Million for Multiple Failures Including Failing to Investigate & File Suspicious Transactions, Adequately Protect Customers...
United States SEC Fines ex-President & CIO of Public-Listed Company Alfred V. Tobia Jr & Sister-in-Law Elizabeth Lee $1.36 Million for Insider Trading in...
United States SEC Fines BMO Capital Markets $40 Million in Penalty, Disgorgement & Prejudgement Interest for Failing to Supervise Employees in Selling $3 Billion...
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