SEA 1934 Rule 13(a)
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SEC says ADM executive engineered accounting to preserve a growth story
The SEC emphasized ADM’s cooperation in resolving the matter.
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SEC sues Lottery.com and ex-employees for revenue fraud
According to the complaint, a series of artificial transactions drastically inflated the company’s value from 2020 to 2022.
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SEC approves $200m Barclays distribution plan years after shelf control collapse
Three years after Barclays admitted to selling $17.7 billion in unregistered securities, the SEC has approved a long-awaited plan to return funds to harmed investors.
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Hotel asset manager settles with SEC over cyber breach misreporting
The charges reflect the SEC’s sustained focus on accurate cybersecurity statements.
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SEC dings Becton Dickinson $175m for misrepresenting product risks
The company failed to properly inform investors about regulatory challenges it was experiencing with the FDA.
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SEC charges Kiromic BioPharma for failing to disclose FDA holds
Two former executives were fined, but the company itself will not receive a civil penalty due to its self-reporting.
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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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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.