The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be webcast on the SEC website. The committee will host two… SEC Press Release
Enforcement
SEC Charges Zymergen Inc. With Misleading IPO Investors About Company’s Market Potential and Sales Prospects
The Securities and Exchange Commission today announced settled charges against Zymergen Inc., an Emeryville, California-based biotechnology company, for misleading IPO investors about its overall market potential, revenue prospects, and customer pipeline… SEC Press Release
SEC Charges Former Financial Consultant for Providing Father and Friends Inside Information Regarding Firm’s Client
The Securities and Exchange Commission today charged Federico Nannini, his father, and two of his friends for insider trading in advance of the pending acquisition of Infrastructure and Energy Alternatives, Inc. (IEA) by MasTec Inc., a client of the… SEC Press Release
SEC Files Settled Charges Against Three StraightPath Sales Agents for Unregistered Broker Activity
Unregistered Broker Activity Leads to SEC Charges In a recent development, the U.S. Securities and Exchange Commission (SEC) announced the settlement of charges against three sales agents from StraightPath Venture Partners for unregistered broker activity. These agents, Anthony Guarino, Robert Seropian, and Frank Vecchio, were involved in selling membership interests […]
SEC Charges Three Former Executives of Pharmacy Startup Medly Health Inc. with Defrauding Investors
The Securities and Exchange Commission today charged now-defunct digital pharmacy startup Medly Health Inc’s. co-founder and former CEO, Marg Patel, former CFO, Robert Horowitz, and former Head of Rx Operations, Chintankumar Bhatt, with defrauding… SEC Press Release
SEC Approves a New PCAOB Quality Control Standard
The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms. QC 1000, A Firm’s System of Quality Control… SEC Press Release
SEC Charges Keurig with Making Inaccurate Statements Regarding Recyclability of K-Cup Beverage Pod
The Securities and Exchange Commission today charged Keurig Dr Pepper Inc. with making inaccurate statements regarding the recyclability of its K-Cup single use beverage pods. To settle the SEC’s charges, Keurig agreed to pay a $1.5 million civil penalty… SEC Press Release
SEC Announces Six New Investor Advisory Committee Members
The Securities and Exchange Commission today announced six new members to fill vacancies on its Investor Advisory Committee. The new members, who will serve four-year terms, join 17 current committee members. The committee, established under the Dodd-… SEC Press Release
SEC Charges John Deere With FCPA Violations for Subsidiary’s Role in Thai Bribery Scheme
The Securities and Exchange Commission today announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) arising out of bribes… SEC Press Release
SEC Publishes Small Business Educational Resources About Income Statements and Balance Sheets
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy of income statements and balance sheets. “Understanding… SEC Press Release
