SEC files Administrative Proceeding against Northern Trust Hedge Fund Services, LLC

Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding, File No. 3-20030,…

SEC files Administrative Proceeding against Henry Seth Brock, CPA

Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding against Henry…

SEC files an Administrative Proceeding Against Benaiah Holdings Group

Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding against Benaiah…

SEC Charges Connecticut Investment Adviser, Hai Khoa Dange with Defrauding Retired Couple

Washington, DC (STL.News) The Securities and Exchange Commission today charged Connecticut-based investment adviser Hai Khoa Dang…

Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners

Washington, DC (STL.News) The Securities and Exchange Commission today announced that Caroline A. Crenshaw and Hester…

Deputy Chief Accountant Marc Panucci to Leave SEC

Washington DC (STL.News) The Securities and Exchange Commission today announced that Marc Panucci, Deputy Chief Accountant,…

SEC Charges Trustify Inc. and Founder, Daniel Boice in $18.5 Million Offering Fraud

Washington DC (STL.News) The Securities and Exchange Commission today charged Trustify Inc., an online marketplace purportedly…

Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act

Washington DC (STL.News) The Securities and Exchange Commission and the Federal Deposit Insurance Corporation have adopted…

SEC Charges Silicon Valley Start-Up, YouPlus, Founder and CEO, Shaukat Shamim, With Defrauding Investors

Washington DC (STL.News) The Securities and Exchange Commission Monday charged a Mountain View, California-based technology start-up…

SEC Charges App Developer for Unregistered Security-Based Swap Transactions

Washington, DC (STL.News) The Securities and Exchange Commission today charged California-based Abra and a related firm…

T. Rowe Price Receives Approval For Active Exchange-Traded Funds

Four equity ETFs to make debut using long-standing strategic investing approach; funds will list on NYSE…

SEC Charges Alexion Pharmaceuticals With FCPA Violations

Washington DC (STL.News) The Securities and Exchange Commission today announced that Boston-based pharmaceutical company Alexion Pharmaceuticals…

SEC Awards 5 Stars to Waad Al Shamal Power Plant Project for Environment, Health & Safety Standards

Waad Al Shamal becomes one of the Saudi power plants under construction awarded a 5-star rating…

SEC Announces Speakers for June 18 Small Business Forum: “Access to Capital: More Critical Now than Ever”

Washington DC (STL.News) The Securities and Exchange Commission today released the program with agenda and speakers…

SEC Charges California Trader, Jason C. Nielsen Engaged in Trading Scheme Involving Covid-19 Claims

SEC Charges California Trader, Jason C. Nielsen Engaged in Manipulative Trading Scheme Involving Covid-19 Claims Washington,…