Sec Probe News Today

The regulator is examining the internal communications of CEO Sam Altman, after the board last year temporarily ousted him for alleged lack of candor.

Shares of B. Riley Financial, Inc. (RILY) were losing more than 14 percent in the pre-market activity on Nasdaq following a Bloomberg News article about a possible SEC investigation.

Shares of B. Riley Financial, Inc. (RILY) were losing more than 14 percent in the pre-market activity on Nasdaq following a Bloomberg News article about a possible SEC investigation.

The US securities regulator has been scrutinising whether the former top executives failed to adequately disclose those privacy issues to shareholders or put in place proper controls, according to the report.

DWS has agreed to pay $25m in penalties to settle two charges by the SEC into alleged ESG “misstatements” and AML violations.

Cash App fake accounts are now becoming rampant. A new report accused Block of allowing these fake accounts to increase on its platform.

The SEC alleged Chris Kirchner, former CEO of a software company Slync, "misappropriated" more than $28 million for his personal use.

Penalties stem from an SEC probe

Robinhood Markets Inc. disclosed in a filing that the U.S. Securities and Exchange Commission has been probing the company's compliance ...

The SEC sent subpoenas to firms like Morgan Stanley and Goldman Sachs seeking trading information and communications between investors and the banks.