SEC Charges Former Business News Commentator with Misappropriating Client and Investor Funds Read the full report at Read More

SEC Charges Recidivists for Violations of a Previous Commission Order Read the full report at Read More

SEC Charges Former Registered Investment Advisor Representative with Securities Fraud Read the full report at Read More

The Securities and Exchange Commission today charged the CEO of Cheetah Mobile Inc. and the company’s former President with insider trading for selling Cheetah Mobile’s securities, pursuant to a purported 10b5-1 trading plan, while in possession of… Full report at: Read More

SEC Charges Securities Professional and Former Corporate Insider with Insider Trading Read the full report at Read More

The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately… Full report at: Read More

SEC Obtains Final Judgment Against Municipal Advisor and Its Owner in Municipal Bond Offering Schemes Read the full report at Read More

The Securities and Exchange Commission today issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto asset securities from April 2018 through July 2018 and charged crypto influencer… Full report at: Read More

The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host four panels to discuss: Human… Full report at: Read More

Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms in displaying… Full report at: Read More