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SEC ENFORCEMENT DIVISION
US lawmakers press SEC's top official over enforcement director's exitTop Democratic Senators are demanding answers from the Securities and Exchange Commission. They are questioning the sudden exit of the agen...- US Stocks: US SEC to give probe targets more notice, rolls out other changesThe U.S. Securities and Exchange Commission will give targets of investigations more time to respond to its notices of potential charges as...
- Adani bribery probe: US SEC led by two officers of Indian originSanjay Wadhwa, who leads the US SEC's enforcement division, is investigating bribery allegations against the Adani family. Wadhwa, promoted...
- US SEC says JPMorgan Chase settles five enforcement cases, to pay $151 millionJPMorgan Chase has agreed to pay $151 million to settle five SEC enforcement cases, which include accusations of misleading disclosures to ...
- US SEC blames 'SIM swapping' for its X account hackThe U.S. Securities and Exchange Commission (SEC), a Wall Street regulator, revealed that its social media account on the platform X was ha...
- Before suing Coinbase, SEC asked it to trade only in bitcoin: FT reportThe SEC had accused Coinbase of operating illegally because it failed to register as an exchange. It also alleged that Coinbase traded at l...
- Founder of student aid startup Frank arrested on fraud chargesCharlie Javice, 31, of Miami Beach, Florida, was arrested Monday night in New Jersey on conspiracy, wire and bank fraud charges.
- SEC charges former McDonald's CEO with misleading investorsFormer McDonald's CEO Stephen Easterbrook has been charged by federal regulators with making false and misleading statements to investors a...
- Crypto exchange Poloniex agrees to pay $10.4 mn to settle US SEC chargesLaunched in 2014, Poloniex was acquired in 2018 by Circle, a payments and digital currency firm whose backers include Goldman Sachs Group I...
- US charges crypto executives for 1st time amid larger scrutinyAs the US goes after the unregulated cryptocurrency market, the Securities and Exchange Commission (SEC) has for the first time charged two...
- 2 Indian Americans among six charged in Silicon Valley insider trading ringAccording to the SEC complaint on Tuesday, Nathaniel Brown, 49, who served as the revenue recognition manager for Infinera Corporation, rep...
- Indian American chief economist SP Kothari to leave SEC by end of January“As Chief Economist, S P has raised the profile of the SEC, both domestically and internationally, on a range of topics affecting investors...
- SEC fines two companies for improperly reporting earnings, first in 'EPS Initiative'In a statement on Monday, the SEC said carpet manufacturer Interface Inc will pay a $5 million civil fine while the Pennsylvania bank Fulto...
- Uber not alone in facing US probe for India ‘graft’Cognizant is among a dozen firms rapped by SEC since 2016 for alleged corrupt practices in India.
- Elon Musk wanted to impress girlfriend with $420 price, SEC saysMusk was quick to criticize the SEC’s decision to bring an enforcement action.
- SEC drops charges against Moody's in credit ratings caseThe US market regulator has dropped charges against credit rating agency Moody's, in a case involving erroneous ratings it gave to some deb...
- SEC knew of Stanford scheme since 1997: ReportThe Securities and Exchange Commission knew since 1997 that R. Allen Stanford likely was operating a Ponzi scheme and an agency enforcement...
- All business: How tough is the SEC?US appears to be getting tough on corporate shenanigans, securing $83 mn in fines last week from BoA & GE for misleading investors. Top Acc...
- SEC names Robert Khuzami new enforcement chiefThe Securities and Exchange Commission on Thursday named a former federal prosecutor as its new enforcement chief to lead the embattled age...
- SEC to charge execs at failed money market fundReserve Management Co, which is facing a slew of investor lawsuits after its money market fund fell below a key safety benchmark, said SEC ...
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