SA 1933 Rule 17(a)(3)
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SEC closes case on multi-million dollar healthcare investment fraud
The SEC secured over $17m in penalties against defendants who ran a fraudulent medical device investment scheme.
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Elanco fined $15m for Reg S-K misrepresentations
Elanco’s use of sales incentives created misleading impressions of customer demand, the SEC stated.
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JP Morgan affiliates to pay $151m to resolve five SEC enforcement actions
Five SEC enforcement actions include allegations that some advisers’ recommendations were not in the best interest of clients.
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SEC charges four companies for underreporting Sunburst data breach damage
The four settlements come nearly one year after the SEC sued SolarWinds for misleading investors about its cybersecurity controls.
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TD Securities charged with spoofing scheme, failing to supervise head of US Treasuries desk
The allegations revolve around hundreds of episodes of unlawful trading in the secondary (cash) market for US Treasuries.
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SEC sues Virtu Financial for misleading customers about data safeguards
Charges filed against broker-dealer and parent company over access to confidential trading information.
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FINRA disciplinary action update #17
Disciplinary decisions issued June 9 – June 15, 2023.
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FINRA disciplinary action update #14
Disciplinary decisions issued May 19 – May 25, 2023.