Search results
HF Foods to pay $3.9M to settle execs’ alleged fraud
Compliance Week· 2 days agoThe settlement, announced in an administrative proceeding Thursday, follows charges the SEC levied earlier this week against former HF Foods CEO Zhou Min...
SEC sued by trade association for details on record-keeping probe
Reuters· 2 days agoThe SEC has filed administrative complaints against dozens of firms...
SEC options probe reports rock GameStop stock after Roaring Kitty returns
TheStreet.com· 4 days agoRoaring Kitty, the personality behind GameStop's recent surge, is facing a different set of challenges in this year's iteration of the meme stock story. GameStop shares retreated in early Tuesday ...
Massachusetts regulator probes 'Roaring Kitty's' GameStop trades
Colorado Springs Gazette· 4 days agoThe Massachusetts securities regulator is probing the trading activities of GameStop investor Keith Gill, who gained notoriety as stocks influencer "Roaring Kitty" during the 2021 meme stock ...
Bloomberg analyst calls for FOIA request into SEC's Ethereum ETF decision
CryptoSlate· 1 day agoBloomberg ETF analyst James Seyffart called for freedom of information access (FOIA) requests...
Bill Hwang Wants to Cite Morgan Stanley Leaks as Secrecy Defense
Bloomberg via Yahoo Finance· 6 days ago(Bloomberg) -- Bill Hwang is pushing to bring up the probe of Morgan Stanley block-trading leaks in...
Roaring Kitty Faces Trading Probe After GameStop (GME) Stock Frenzy
InvestorPlace· 4 days agoKeith Gill, alias Roaring Kitty, faces a probe by regulators in Massachusetts over his trades in...
Wall Street is putting its foot down as ‘Roaring Kitty’ strikes again
CNN Business via Yahoo Finance· 1 day agoKeith Gill, the “Roaring Kitty” meme stock investor, revealed in a Reddit post on Sunday that he had...
Senator urges SEC, FTC to probe UnitedHealth's vulnerability to ransomware attack
BenefitsPRO· 5 days agoA top Democrat in Congress wants the U.S. Security and Exchange Commission and the Federal Trade...
Client Alert: Takeaways from SEC v. SolarWinds Motion to Dismiss Hearing | JD Supra
JD Supra· 6 days agoThe SEC’s high-profile litigation against SolarWinds and its Chief Information Security Officer (CISO), Timothy Brown, reached a critical juncture on May 15, 2024, when the ...