The Securities and Exchange Commission (SEC) today announced that Prager Metis CPAs, LLC and its California professional services firm, Prager Metis CPAs LLP, agreed to pay $1.95 million to resolve two actions alleging misconduct in…
The Securities and Exchange Commission (SEC) today announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for widespread and longstanding failures by the firms and their employees…
Robinhood Financial, LLC has agreed to settle a 2020 case brought by Secretary of the Commonwealth William F. Galvin over the online trading platform’s use of gamification strategies to attract and manipulate customers. As part…
The Securities and Exchange Commission (SEC) today announced settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law violations to the SEC. JPMS…
The Securities and Exchange Commission (SEC) today charged investment banking giant Morgan Stanley & Co. LLC and the former head of its equity syndicate desk, Pawan Passi, with a multi-year fraud involving the disclosure of…
The Securities and Exchange Commission (SEC) today announced that BarnBridge DAO, a purportedly decentralized autonomous organization, and its two founders, Tyler Ward and Troy Murray, will pay more than $1.7 million to settle charges that…