UBS will pay $25 million to Resolve SEC Fraud Allegations
UBS Financial Services Inc. has decided to pay around $25 million to resolve fraud allegations...
Florida Couple Sues Securities Firm Over $29 Million Ponzi Scheme Run by Deceased Advisor
A Florida couple filed a lawsuit against the advising company because they claim it was...
SEC’s Victory: Morgan Stanley Smith Barney Will Pay $35 Million For Failing to Protect Clients’ Data
For Significant Failures to Protect the Personal Information of Millions of Customers, Morgan Stanley Smith...
Ameriprise was Charged by The SEC for Failing To Protect Client Funds
The US Securities and Exchange Commission said on Wednesday that Ameriprise Financial Services Inc would...
Merrill Lynch is Accused by the SEC of Failing to Inform Clients of Foreign Exchange Fees
The Securities and Exchange Commission has filed a complaint against Merrill Lynch, Pierce, Fenner &...
SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud
The Securities and Exchange Commission obtained an emergency order to halt an alleged ongoing offering...
Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric
The Securities and Exchange Commission today announced its settlement with the former head of Wells...
SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao
Charges include operating unregistered exchanges, broker-dealers, and clearing agencies; misrepresenting trading controls and oversight on...
Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities
The Securities and Exchange Commission today announced that former Coinbase product manager Ishan Wahi and...
SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme
The Securities and Exchange Commission today charged investment adviser Sabby Management LLC and its managing...