Finra Panel Orders Fidelity To Pay Ex-Broker $500K In Defamation Case
Finra Panel Orders Fidelity To Pay Ex-Broker $500K In Defamation Case: The panel also ruled that the records of termination are to be expunged.
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SEC Charges Creator of CoinDeal Crypto Scheme and Seven Others in Connection with $45 Million Fraud
The Securities and Exchange Commission today charged Neil Chandran, Garry Davidson, Michael Glaspie, Amy Mossel, Linda Knott, AEO Publishing Inc, Banner Co-Op, Inc, and BannersGo, LLC for their involvement in a fraudulent investment scheme named CoinDeal…

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SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme
The Securities and Exchange Commission today announced fraud charges against Cooper J. Morgenthau, the former CFO of African Gold Acquisition Corp., a SPAC or special purpose acquisition company, for orchestrating a scheme in which he stole more than $5…

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Tesla Stock Continues To Fall, When Will It End?
Tesla stock has taken a tumble over the last year. Every Tesla investor is waiting to see when it will hit bottom and start heading up to new heights.
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Fort Worth Regional Director David L. Peavler to Leave SEC
The Securities and Exchange Commission today announced that David L. Peavler, the Director of the Fort Worth Regional Office since 2019, is leaving the agency after more than 19 years of service. Eric R. Werner and Marshall Gandy will serve as the office…

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Is Inflation High Compared To Years Past? Breaking Down Inflation Rates By Year
With inflation running high throughout 2022, let’s take an investor’s look back at the history of inflation and see what normal inflation levels look like and when the U.S. started to experience inflationary spikes.
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SEC Investor Advisory Committee to Discuss Investor Account Statements, Corporate Tax Transparency, and Single-Stock ETFs on Dec 8
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 8 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Account…

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ABB Settles SEC Charges that it Engaged in Bribery Scheme in South Africa
The Securities and Exchange Commission today announced charges against global electrification and automation technology company, ABB Ltd, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme in South Africa. The…

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AT&T Settles SEC Charge of Selectively Disclosing Material Information to Wall St. Analysts
The Securities and Exchange Commission today announced that AT&T agreed to pay a $6.25 million penalty and three company executives agreed to pay $25,000 apiece stemming from charges brought in March 2021 related to the company’s selective disclosure…

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