U.S. Securities and Exchange Commission

DCG, Pay SEC

Vanguard to pay $106.4 mln to settle US SEC charges, regulator says

The Vanguard Group has agreed to pay $106.4 million to settle U.S. Securities and Exchange Commission (SEC) charges over misleading statements related to capital gains distributions and tax consequences for retail investors,

Wall Street Journal · 19h

DCG Pays $38 Million Fine to Settle SEC Investigation

Crypto company Digital Currency Group agreed to pay a $38 million fine to settle with the Securities and Exchange Commission over allegations of negligence in overseeing a program offered by its now-defunct lending subsidiary Genesis Global Capital.

Business Insider · 7h

DCG, Former Genesis CEO to Pay SEC $38.5M to Settle Securities Fraud Charges

Digital Currency Group (DCG) and Soichoro “Michael” Moro, the former CEO of its now-defunct Genesis subsidiary, have agreed to pay a combined

Reuters · 6h

Digital Currency Group, former Genesis CEO to pay $38.5 million over SEC charges

The U.S. Securities and Exchange Commission on Friday said Digital Currency Group Inc. and the CEO of its now-defunct subsidiary Genesis Global Capital LLC have agreed to pay a combined $38.5 million in civil penalties to settle charges they misled investors about Genesis's financial condition.

Vanguard to pay $106 million in SEC accord

AOL · 5h

Vanguard to pay $106 million in SEC accord after saddling investors with big tax bills

Vanguard Group will pay $106.4 million to settle U.S. Securities and Exchange Commission charges alleging it failed to disclose important tax information about its popular target-date funds, resulting in hundreds of thousands of ordinary investors getting stuck with inflated tax bills.

The New York Times · 6h

Vanguard to Pay $106 Million in Restitution to Retirement Fund Investors

An investigation by the S.E.C. and several states found that the company had failed to notify investors of changes in the terms of some funds, leading to higher capital gains taxes.

NBC News · 8h

Vanguard fined more than $100 million by SEC over violations involving target date retirement funds

The violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its institutional target date funds.

LPL Financial, SEC and Pay

The San Diego Union-Tribune o… · 1h

SEC charges La Jolla’s LPL Financial with anti-money laundering violations

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the Securities and Exchange Commission for violations of anti-money laundering policies.

MarketWatch · 13h

LPL Financial to Pay $18M Fine for Anti-Money Laundering Failures

LPL Financial Holdings has agreed to pay an $18 million fine and to improve its anti-money laundering program to settle charges from the U.S. securities watchdog. The Securities and Exchange Commission on Friday said that it has laid charges against the broker-dealer and investment adviser for multiple failures related to its anti-money laundering program.

Business Insider · 12h

LPL Financial to pay civil penalty of $18M to settle SEC charges

The Securities and Exchange Commission announced charges against broker-dealer and investment adviser LPL Financial (LPLA) for multiple

5hon MSN

SEC enforcement blitz targets 7 financial firms as Biden administration winds down

The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.

2don MSN

SEC sues Elon Musk for alleged failure to file timely disclosure of Twitter share purchases

The U.S. Securities and Exchange Commission is suing Elon Musk for allegedly failing to properly disclose his purchase of ...

Two Sigma Waited Four Years to Fix Known Flaw, SEC Alleges

Two Sigma Investments waited four years to address vulnerabilities that hedge fund employees noticed in its investment models ...

6hon MSN

Vanguard to pay more than $100 million to SEC over violations involving target date retirement funds

The alleged violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its ...

Trump's new SEC leadership poised to kick start crypto overhaul, sources say

Officials at the SEC are poised to begin overhauling the agency's cryptocurrency policies potentially as early as next week.

The Daily Hodl2d

US Judge Deems SEC’s Order To Deny Coinbase Rulemaking Petition ‘Arbitrary and Capricious’

A judge just ordered the U.S. Securities and Exchange Commission (SEC) to craft a more thorough response to a petition from ...

CoinDesk3d

Binance.US Chief: The SEC Called Us a Cauldron of Fraud, Without Any Evidence

Gary Gensler’s Securities and Exchange Commission (SEC) branded Binance.US “a cauldron of fraud,” and used its power and ...

XRP Gains Momentum Toward $5 Amid SEC Appeal Challenges, BYDFi Stays Investor Favorite

On January 15, 2025, the SEC formally filed an appeal with the Second Circuit Court to overturn Judge Analisa Torres' July ...

Hosted on MSN2d

US Securities and Exchange Commission’s lawsuit against Elon Musk explored as X CEO is accused of non-disclosure of the app’s stock purchase

The Security and Exchange Commission (SEC) filed a lawsuit against Elon Musk, owner of social media giant X (formerly known ...

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DCG, Pay SEC

Vanguard to pay $106 million in SEC accord

LPL Financial, SEC and Pay

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