On September 16, 2024, the Securities and Exchange Commission (SEC) filed civil charges against former CEO Paul D. Roberts, former Chief Financial Officer Joshua A. Weiss, and former Audit ...
In its correction, the firm also paid out $220,000 to 846 retail customers, accounting for upfront sales charges plus interest. The SEC's examination priorities for 2024 indicated Regulation Best ...
Charges. The SEC charged that the defendants violated Securities Act Sections 17(a)(2) and 17(a)(3). In its complaint, the SEC alleged that they made the following misleading statements about the ...
The news comes on the same day that the SEC filed charges against Cassava, former CEO Remi Barbier, and former senior vice president of neuroscience Lindsay Burns. In a lawsuit filed with the U.S ...
Those facing charges include John LoPinto, Robert Wilkos, and Laren Piscotti, the SEC said. Also, the SEC alleges, LoPinto used an alias to hide his disciplinary history that includes sanctions by ...
The SEC charges DraftKings with selectively disclosing nonpublic information to investors who followed the company CEO’s social accounts. DraftKings agrees to pay a $200,000 civil penalty to ...
Cassava Sciences (NASDAQ:SAVA) has agreed to pay $40M to settle charges by the U.S. Securities and Exchange Commission (SEC) that the drug developer made misleading claims about the 2020 trial ...
The company said it cooperated with the SEC's investigation and "implemented ... it does not anticipate the DOJ will bring criminal charges or seek resolution with Cassava. Cassava maintained ...
The Securities and Exchange Commission announced registered investment adviser Macquarie Investment Management Business Trust (MIMBT) will pay a total of $79.8 million to settle charges for ...
SEC commissioner Greg Sankey was speaking on the Triple Option podcast earlier this week, and the future of college football was laid out for all to see. If it wasn’t clear already, it will be ...
The 2024 SEC football season is on and with the addition of Texas and Oklahoma to the conference, the SEC is more loaded than ever. Keep reading for details on how to watch Week 7 of SEC football ...
Shares of Cassava Sciences Inc. dropped more than 12% in the extended session Thursday U.S. securities regulators announced a settlement with the pharma company, after charging it and two former ...
