U.S. Securities and Exchange Commission - Search News

Wells Fargo, SEC and Merrill

Wells Fargo and Bank of America Agree to Pay Combined $60 Million to Settle SEC Probe

In the enforcement actions announced Friday, the regulator said the two firms agreed to settle the charges without admitting or denying any wrongdoing.

Reuters on MSN · 17h

Wells Fargo firms, Merrill Lynch to pay $60 million to settle SEC charges

Merrill Lynch and two Wells Fargo advisory firms have agreed to pay a combined $60 million in civil penalties to settle U.S. Securities and Exchange Commission charges over compliance failures, the regulator said on Friday.

Financial Planning · 15h

Wells Fargo, Merrill settle SEC 'sweeps' probe for $60M

Regulators took the wirehouses to task for not having policies directing advisors to consider clients' best interests.

LPL financial, SEC

Barron's on MSN · 15h

LPL to Pay $18 Million to Resolve Anti-Money-Laundering Allegations

The Securities and Exchange Commission alleges that LPL didn’t adhere to an organized process for addressing restrictions on accounts that failed its customer identification program.

Business Insider · 20h

LPL Financial to pay civil penalty of $18M to settle SEC charges

The Securities and Exchange Commission announced charges against broker-dealer and investment adviser LPL Financial (LPLA) for multiple

The San Diego Union-Tribune o… · 8h

SEC charges La Jolla’s LPL Financial with anti-money laundering violations

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the Securities and Exchange Commission for violations of anti-money laundering policies.

1don MSN

SEC Settles Charges Against US Hedge Fund Over Investment Model Vulnerabilities

Two Sigma voluntarily repaid $165 million to impacted funds and accounts during the SEC's investigation and agreed to pay $90 ...

4d

Robinhood Is Fined $45 Million Over a New Set of Securities Violations

The upstart brokerage agreed to pay the Securities and Exchange Commission for failing to protect sensitive customer data, ...

18hon MSN

Why Trump’s New Crypto Era May be Less Wild, and More Profitable, Than Investors Think

The end of the SEC’s regulate-by-enforcement strategy will be an improvement, however it shakes out, Howard Fischer and ...

U.S. Judges Demand SEC 'Explain Itself' for Rebuffing Requests for Crypto Rules

In another 11th-hour court loss for Chair Gary Gensler's tenure, judges in a Coinbase case again call the SEC's crypto ...

The Daily Hodl2d

US Judge Deems SEC’s Order To Deny Coinbase Rulemaking Petition ‘Arbitrary and Capricious’

A judge just ordered the U.S. Securities and Exchange Commission (SEC) to craft a more thorough response to a petition from ...

7don MSN

Former WWE CEO Vince McMahon, Securities and Exchange Commission reach settlement after lengthy probe

The Securities and Exchange Commission said it reached a settlement agreement with WWE co-founder Vince McMahon, which ...

3d

SEC sues Elon Musk for alleged securities violations stemming from his acquisition of Twitter

The Securities and Exchange Commission, which is responsible for enforcing laws against market manipulation, says the SpaceX ...

7d

Crypto litigation brought against the SEC and the implications of a new administration

Alexander C. Drylewski, Daniel Michael and Shaud G. Tavakoli of Skadden, Arps, Slate, Meagher & Flom LLP discuss lawsuits ...

thecurrencyanalytics3d

Supreme Court Rules U.S. Securities Laws Apply to Binance

The U.S. Supreme Court's ruling confirms that Binance must comply with U.S. securities laws, even without a physical office ...

Results that may be inaccessible to you are currently showing.

Hide inaccessible results