SEC Files Charges Against Pot Company
The Securities and Exchange Commission charged Medbox, now Notis Global, and its founder, Vincent Mehdizadeh, with falsely touting...
SEC Charges Navistar and its CEO for Misleading Investors
Navistar International Corp. and its former Chief Executive Officer, Daniel Ustain, agreed to settle their charges with the SEC for $7.5...
TV Commentator Settles SEC Charges
Former market analyst and TV news commentator, Tobin Smith, and his company, NBT Group Inc., agreed to settle SEC charges that they...
Monsanto Pays $80m Penalty
Monsanto Company agreed to pay an $80 million penalty and retain an independent compliance consultant to settle SEC charges that it...
Barclays and Credit Suisse Settle Dark Pool Violations
Barclays Capital Inc. and Credit Suisse Securities (USA) LLC agreed to pay $70 million and $84.3 million respectively to settle charges...
SEC Brings Fraud Charges Involving Marley Coffee Stock
The Securities and Exchange Commission filed fraud charges against individuals involved in a $78 million pump-and-dump scheme of the...
UBS Advisory Firms Pay $17.5M For Failure to Disclose Changes in Investment Strategy
The SEC announced that UBS Willow Management LLC and UBS Fund Advisor LLC agreed to pay a total of approximately $17.5 million, more than...
Trading Firm Charged With Spoofing
Trading firm, Briargate Trading LLP, and one of its founder, Eric Oscher, agree to pay $1 million to settle charges with the Securities...
Blackstone Advisors to Pay $39m for Disclosure Violations
Three private equity fund advisers within The Blackstone Group agreed to pay $39 million to settle charges with the Securities and...
