The Securities and Exchange Commission today announced settled charges against Ohio-based Express, Inc., a multi-brand American fashion retailer, for failing to disclose executive compensation it paid to its now former CEO. According to the SEC’s order… Full report at: Read More

The Securities and Exchange Commission today adopted amendments to require the electronic filing, submission, or posting of certain forms, filings, and other submissions that national securities exchanges, national securities associations, clearing… Full report at: Read More

The Securities and Exchange Commission today announced settled charges against Becton, Dickinson and Company, a New Jersey-based medical device manufacturer known as BD, for repeatedly misleading investors about risks associated with its continued sales… Full report at: Read More

The Securities and Exchange Commission today announced that Erik Gerding, Director of the Division of Corporation Finance, will depart the agency effective Dec. 31, 2024. Upon Mr. Gerding’s departure, Cicely LaMothe will serve as Acting Director. “I… Full report at: Read More

The Securities and Exchange Commission today charged global financial services firm Cantor Fitzgerald, L.P. with causing two special purpose acquisition companies (SPACs) that it controlled to make misleading statements to investors ahead of their… Full report at: Read More

The Securities and Exchange Commission today charged Eric Cobb of South Carolina with engaging in a fraudulent scheme where he allocated profitable securities trades to favored accounts and unprofitable trades to disfavored clients, a practice known as… Full report at: Read More

The Securities and Exchange Commission’s Office of the Investor Advocate today published its Report on Activities for the Fiscal Year 2024 to Congress, highlighting the work of the office during the fiscal year. The report includes: The office’s… Full report at: Read More

The Securities and Exchange Commission today announced insider trading charges against Ken Peterman, the former CEO, president, and Chair of the Board of Comtech Telecommunications Corp., in connection with his sale of Comtech shares on the basis of… Full report at: Read More

The Securities and Exchange Commission today charged Chibuzo Augustine Onyeachonam, Stanley Chidubem Asiegbu, and Chukwuebuka Martin Nweke-Eze with fraud for impersonating legitimate securities brokers and investment advisers in an elaborate online… Full report at: Read More

The Securities and Exchange Commission today charged Morgan Stanley Smith Barney LLC (MSSB) with failing to reasonably supervise four investment adviser and registered representatives (hereafter, financial advisors) who stole millions of dollars of… Full report at: Read More