Settle Charges News Today

On April 3, 2024, the US Securities and Exchange Commission ("SEC") brought its first enforcement action against a "stand-alone" SEC registered investment adviser...

Though many, if not most, of the measures implemented to address the COVID pandemic have since been rolled back, the transition from fully in-person to remote and hybrid work environments appears to be here to stay.

On April 3, 2024, the US Securities and Exchange Commission (“SEC”) brought its first enforcement action against a “stand-alone” SEC registered investment adviser (“RIA”) for violations...

On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers...

On February 9, 2024, the Securities and Exchange Commission (SEC) announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four...

This report provides a snapshot of the U.S. Executive Branch priorities via daily schedules and the prior day's press releases.

President Biden gives remarks at 2023 International Association of Fire Fighters Legislative Conference. Vice President Harris gives remarks in Moderated Conversation on Climate. NSC Spokesperson Adrienne Watson gives statement on U.S. Lithuania Strategic Dialogue.

Wells Fargo agreed to pay $3.7 billion to settle charges that it harmed customers by charging illegal fees and interest on auto loans and mortgages, as well as incorrectly applying overdraft fees against savings and checking accounts.

The trustee of the Millennium Lender Claim Trust brought an action against numerous financial institutions alleging that a $1.8 billion syndicated loan transaction violated state securities laws.

Key Points - The 2nd Circuit is considering whether syndicated term loans—i.e., loans to corporate entities provided by a group of lenders, rather than a single...