Wells Fargo has entered agreements with DOJ and SEC to resolve their investigations. Wells Fargo has agreed to make payments totaling $3 billion as part of the settlement. read more

FEB 24, 2020 - 6:55 am

The SEC voted to propose rule amendments to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make under Regulation S-K. read more

AUG 12, 2019 - 6:30 am

idPac has asked the FTC, U.S. Justice Department and the SEC to review prior actions of Carl Icahn and American Railcar to determine if the recent high valued sale of the company was tied to idPac technology. read more

MAY 10, 2019 - 6:30 am

Online image aggregator and social media platform Pinterest filed a proposal with the SEC for an initial public offering of its Class A shares. Goldman Sachs, J.P. Morgan Securities and Allen & Company will serve as lead joint book-running managers for the offering. read more

MAR 25, 2019 - 6:30 am

The staff of the Securities and Exchange Commission will host a public forum focusing on distributed ledger technology (DLT) and digital assets on May 31, 2019. read more

MAR 18, 2019 - 6:40 am

The Securities and Exchange Commission announced that JPMorgan Chase Bank will pay more than $135 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). read more

DEC 28, 2018 - 6:55 am

The Securities and Exchange Commission announced that Citibank has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). read more

NOV 8, 2018 - 6:55 am

The Securities and Exchange Commission entered an order finding that Citigroup Global Markets misled users of a dark pool operated by one of its affiliates. read more

SEP 17, 2018 - 7:20 am

The SEC announced charges against 1 Global Capital and its former CEO for allegedly defrauding at least 3,400 retail investors. read more

AUG 30, 2018 - 7:05 am

The Securities and Exchange Commission announced Moody’s Investors Service agreed to pay a total of $16.25 million in penalties to settle charges involving internal control failures and failing to clearly define and consistently apply credit rating symbols. This marks the first time the SEC has filed an enforcement action involving rating symbol deficiencies. read more

AUG 29, 2018 - 7:00 am

The SEC announced Wells Fargo Advisors agreed to settle charges of misconduct in the sale of financial products known as market-linked investments to retail investors. read more

JUN 26, 2018 - 7:23 am

The SEC announced the entity formerly known as Yahoo has agreed to pay a $35 million penalty to settle charges that it failed to disclose on the world’s largest data breaches. read more

APR 30, 2018 - 8:01 am

The SEC charged Michael Liberty, the founder of fintech startup now known as Mozido, with a scheme to trick hundreds of investors into investing in his shell companies instead of Mozido. read more

APR 3, 2018 - 6:30 am

The SEC instituted an enforcement action against Deutsche Bank Securities for making false and misleading statements while negotiating sales of CMBS. The bank has agreed to pay more than $3.7 million to customers, which includes $1.48 million that was ordered as disgorgement. read more

FEB 13, 2018 - 6:45 am

The Wall Street Journal reported that the Securities and Exchange Commission is looking into GE Capital’s revenue recognition practices for “long-term service contracts.” read more

JAN 25, 2018 - 6:26 am