You Searched For "sec enforcement actions" and got 20 results
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7 mins read
Read the letter OpenAI whistleblowers sent to the SEC calling for action on NDAs
OpenAI whistleblowers wrote to the Securities and Exchange Commission seeking an investigation into…
Jyoti Mann
1 min read
Trump Media stock tumbles as the SEC charges its auditor with 'massive fraud'
Trump Media's auditor was a "sham" and committed "massive fraud" for over two years, regulators sai…
Jennifer Sor
1 min read
The SEC doesn't want to let firms and individuals get by without admitting wrongdoing anymore as part of enforcement actions
Wrongdoing admissions will strengthen the deterrent value of enforcement actions, the head of the S…
Carla Mozée
1 min read
The SEC just issued a $13 million fine in its first-ever DeFi enforcement action
"The federal securities laws apply with equal force to age-old frauds wrapped in today's latest tec…
Ethan Wu
1 min read
The SEC is nearly doubling its crypto enforcement unit as the agency sees retail investors 'bearing the brunt of abuses' in the digital asset sector
The Wall Street regulator said it would add 20 positions to its Crypto Assets and Cyber Unit, bring…
Brian Evans
2 mins read
The SEC is suing Binance and CEO Changpeng Zhao for violating securities regulation
The world's largest crypto exchange is being sued by the SEC for operating an illegal exchange in t…
Max Adams
1 min read
SEC charges California man with running a micro-cap stock fraud scheme that targeted retail investors
According to the SEC's complaint, Charlie Abujudeh fraudulently sold a number of microcap stocks to…
Emily Graffeo
4 mins read
Here's what the SEC's 'all-out assault' on crypto means for the market's 2 biggest players
The SEC sued Binance and Coinbase this week in an "all-out assault" on crypto. Experts say it marks…
Max Adams
1 min read
Coinbase plunges 21% after the SEC sues the crypto exchange for breaking US securities laws
"Coinbase's alleged failures deprive investors of critical protections, including rulebooks that pr…
Matthew Fox
1 min read
Coinbase falls 10% after the SEC sues rival crypto exchange Binance for violating securities law
Coinbase is currently under SEC investigation and could face an enforcement action tied to its list…
Matthew Fox
1 min read
The SEC has awarded nearly $200 million to individual whistleblowers in 2021, beating its annual record
The Securities and Exchange Commission has given out nearly $200 million in whistleblower awards to…
Will Daniel
3 mins read
Here's why recent moves by the SEC and CFTC may be just the start of crypto's regulatory troubles
High-profile events like the crash of FTX and the implosion of TerraUSD earlier last year have made…
Morgan Chittum
3 mins read
The SEC threatens to sue Coinbase over its crypto lending product - and CEO Brian Armstrong responds by calling the regulator's actions 'sketchy'
"The SEC has told us it wants to sue us over Lend. We don't know why," Paul Grewal, Coinbase's chie…
Shalini Nagarajan
1 min read
Coinbase says it could get sued by the SEC, which has identified 'potential violations of securities law' at the exchange
Coinbase, the largest cryptocurrency trading platform in the US, might get sued by the Securities a…
Zinya Salfiti
1 min read
Crypto exchange Kraken is embroiled in an SEC probe over whether it sold unregistered securities, report says
Regulator SEC is near to wrapping its probe into whether crypto exchange Kraken broke securities ru…
Ryan Hogg
2 mins read
The SEC's recent moves against Coinbase and celebrity endorsers show the agency is getting serious about clamping down on crypto
The SEC said it's "neutral about the technologies at issue" but added it's "anything but neutral wh…
Matthew Fox
2 mins read
Elon Musk won't be let off the hook for Twitter monitoring, the SEC tells a judge
"When it comes to civil settlements, a deal is a deal," the SEC said in a court filing about Musk's…
Shalini Nagarajan
3 mins read
Former GOP House lawmaker is charged with violating insider trading laws to buy $1.5 million in stock
Prosecutors say former Rep. Stephen Buyer heard about Sprint's merger with T-Mobile during a golf g…
Brent D. Griffiths
2 mins read
A former Coinbase executive is among 3 charged in the first-ever crypto insider trading scheme
The Justice Department alleged that the former executive attempted to flee the US when Coinbase rea…
Jennifer Sor
2 mins read
Kraken will stop offering US crypto 'staking' and pay a $30 million penalty after settling with the SEC
Cryptos stumbled, with bitcoin and ethereum both falling as concerns built about a crackdown on inc…