The Securities and Exchange Commission today announced charges against 11 institutional investment managers for failing to file reports, known as Forms 13F, that they were required to file because they have discretion over more than $100 million in… SEC Press Release
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SEC Charges Former Chairman and CEO of Tech Co. Kubient With Fraud and Lying to Auditors
The Securities and Exchange Commission today filed charges against Paul D. Roberts, the former Chair, CEO, and president of Kubient Inc.; Joshua A. Weiss, the company’s former chief financial officer; and Grainne M. Coen, the company’s former audit… SEC Press Release
SEC Charges Seven Public Companies with Violations of Whistleblower Protection Rule
The Securities and Exchange Commission today announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential… SEC Press Release
SEC Investor Advisory Committee to Discuss Investment Advice and Key Topics from Securities Litigation at Sept. 19 Meeting
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
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 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 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
SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or… SEC Press Release
SEC Charges Esmark Inc. and Chairman James Bouchard with Announcing False Tender Offer to Purchase U.S. Steel Corp.
The Securities and Exchange Commission today announced settled charges against Esmark Inc. and its founder, chairman, and former CEO, James P. Bouchard, for publicly announcing a tender offer to purchase U.S. Steel Corporation for $35 per share even… SEC Press Release
SEC Issues $24 Million Awards to Two Whistleblowers
The Securities and Exchange Commission today announced awards of more than $24 million to two whistleblowers whose information and assistance led to an SEC enforcement action and an action brought by another agency. The first whistleblower will receive… SEC Press Release
