LPL Financial settles SEC anti-money laundering charges for $18 million
The Securities and Exchange Commission (SEC) has announced charges against broker-dealer and investment adviser LPL Financial ...
GrubMarket settles SEC charges for overstating revenue by $500 million
The Securities and Exchange Commission (SEC) has settled charges against GrubMarket Inc., a private e-commerce food ...
Vanguard to Pay $106.4 Million to Resolve Alleged Violations Linked to Retirement Funds
Without admitting or denying the SEC's findings, Vanguard agreed to pay $18.2 million in disgorgement and prejudgment interest that will be deemed satisfied by the payment of $92.91 million in relief ...
Vanguard to Pay $106 Million Over Retirement Fund Violations
Vanguard Group Inc. will pay more than $106 million to settle US Securities and Exchange Commission allegations that it made ...
JD Supra56m
Shifting SEC priorities: A new era of enforcement under the Trump administration
President-elect Donald Trump will assume office, ushering in significant changes across U.S. federal agencies, including ...