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April 3, 2023
NEW YORK (Reuters) - A New Jersey hedge fund and its founder have agreed to pay $19.3 million to settle charges by the U.S. Securities and Exchange Commission (SEC) that they improperly traded in fixed-income securities. | Apr. 03
April 3, 2023
Merrill Lynch, Pierce, Fenner & Smith Inc has agreed to pay more than $9.5 million to settle charges from the U.S. Securities and Exchange Commission for failing to disclose foreign exchange... | April 3, 2023
April 3, 2023
Bank of America's investment management unit has agreed to pay over $9.5 million to settle U.S. Securities and Exchange Commission charges that it failed to disclose millions of dollars of fees to clients, the regulator said on Monday.
March 31, 2023
Massachusetts regulators have opened an investigation into sales of company stock by top executives at First Republic Bankin the weeks leading up to the
March 30, 2023
NEW YORK(Reuters) - Massachusetts regulators have opened an investigation into sales of company stock by top executives at First Republic Bank in the weeks leading up to the recent banking turmoil. | Mar. 30
March 30, 2023
Massachusetts regulators have opened an investigation into sales of company stock by top executives at First Republic Bank in the weeks leading up to the recent banking turmoil.
March 29, 2023
(Reuters) - A former chief executive of Binance's de-facto U.S. subsidiary has enlisted a former federal prosecutor and top cop at the Commodity Futures Trading Commission to represent her in the U.S. government's investigations into the giant cryptocurrency exchange, a person with direct knowledge told Reuters. | 11:20am
March 29, 2023
Catherine Coley has enlisted a former federal prosecutor and top cop at the Commodity Futures Trading Commission to represent her in the U.S. government's investigations into the exchange.
March 29, 2023
NEW YORK -The U.S. Securities and Exchange Commission charged crypto firm Beaxy.com and several executives for registration failures on Wednesday, expanding regulators push to rein in the industry.... | March 29, 2023
March 29, 2023
The U.S. Securities and Exchange Commission (SEC) charged crypto firm Beaxy.com and several executives for registration failures on Wednesday, expanding regulators' push to rein in the industry.