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United States SEC Fines Alternative Trading Systems Operator Liquidnet $5 Million...

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United States SEC Fines Alternative Trading Systems Operator Liquidnet $5 Million for Failure to Protect Confidential Subscriber Trading Information, Non-Disclosures & Inappropriate Credit Thresholds...

United States SEC Fines Billionaire & WWE Co-Founder, ex-CEO & Vince...

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United States SEC Fines Billionaire & WWE Co-Founder, ex-CEO & Vince McMahon $400,000 & $1.3 Million Reimbursement to WWE for Failure to Disclose Material...

Terraform Labs & South Korean Co-founder Do Kwon Pleads Not Guilty...

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Terraform Labs & South Korean Co-founder Do Kwon Pleads Not Guilty in United States Court Trial for Fraud Charges, Misleading Investors in Collapse of...

Nasdaq SPAC-Listed Energy Company Brooge Energy Shareholders File Lawsuit Against Audit...

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Nasdaq SPAC-Listed Energy Company Brooge Energy Shareholders File Lawsuit Against Audit Firm EY for Fraud in 2019 IPO with $1 Billion Valuation by Providing...

United States SEC Fines Jump Trading Subsidiary Tai Mo Shan $123...

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United States SEC Fines Jump Trading Subsidiary Tai Mo Shan $123 Million for Negligently Misleading Investors on Stability of Terra USD & as Underwriter...

United States SEC Charged Silver Point Capital for Failure to Implement...

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United States SEC Charged Silver Point Capital for Failure to Implement Policies to Prevent Misuse of Material Non-Public Information Resulting in Silver Point Capital...

United States SEC Fines Deutsche Bank Securities $4 Million for Failure...

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United States SEC Fines Deutsche Bank Securities $4 Million for Failure to File Suspicious Report on Time from 2019 to 2024 with 2 Incidents...

United States SEC Fines Wells Fargo $900,000 for Failure to Provide...

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United States SEC Fines Wells Fargo $900,000 for Failure to Provide Complete & Accurate Securities Trading Information (Blue Sheet Data), Wells Fargo Clearing 11,195...

United States SEC Fines $32 Billion Energy & Utility Giant $12...

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United States SEC Fines $32 Billion Energy & Utility Giant $12 Million Entergy Corp for Failure to Maintain Internal Accounting Controls to Ensure Surplus...

United States SEC Fines Aerospace Company AAR Corp $30 Million to...

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United States SEC Fines Aerospace Company AAR Corp $30 Million to Resolve 2 Bribery Schemes from 2015 to 2018 to Win $210 Million Contract...