Defendant allegedly engaged in cherry-picking, allocating hundreds of millions of dollars in net first-day gains and losses to favored and disfavored portfolios, respectivelyFor Immediate Release2024-187Washington D.C., Nov. 25, 2024 —…
For Immediate Release 2024-184 Washington D.C., Nov. 22, 2024 — The Securities and Exchange Commission today announced settled charges against United Parcel Service Inc. for materially misrepresenting its earnings because…
Firms receive credit for cooperating with SEC’s investigationsFor Immediate Release2024-185Washington D.C., Nov. 22, 2024 — The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC, Lightspeed Financial Services…
Commission saw market participants respond to its efforts to promote culture of proactive compliance.For Immediate Release2024-186Washington D.C., Nov. 22, 2024 — The Securities and Exchange Commission today announced that it…
Defendants, who purported to make business loans, including to professional athletes, allegedly stole investor funds to pay for personal expensesFor Immediate Release2024-183Washington D.C., Nov. 21, 2024 — The Securities and…
