GeaSphere will pay $100,000, the largest fine of the ... with other fund investors, including GeaSphere clients. According to the SEC, GeaSphere also posted factsheets on its website portraying ...

The SEC on Friday announced that it had settled charges with each of the firms, which neither admitted nor denied the allegations and agreed to pay fines ranging from $20,000 to $100,000.

and charged the firm with failing to enforce its code of ethics. Two former SEC attorneys predicted in late March that texting fines against investment advisory firms were likely on their way.

Your article was successfully shared with the contacts you provided. The Securities and Exchange Commission said Friday that it has settled charges with five registered investment advisors for ...

A financial firm’s decision to disclose recordkeeping rule violations directly to the U.S. Securities and Exchange Commission can potentially reduce the fine it receives by a significant amount ...

Without admitting or denying the allegations, Bechtolsheim agreed to resolve the SEC's claims with a $923,740 fine and a bar from serving as an officer or director of a public company for five years.

The US Securities and Exchange Commission has blocked third-party messaging apps and texts from employees’ work mobile phones, bringing its own practices ... $3 billion in fines imposed on ...

You are responsible for reading, understanding and agreeing to the National Law Review's (NLR’s) and the National Law Forum LLC's Terms of Use and Privacy Policy ...

It holds funds focusing on U.S. stocks and bonds as well as international securities. It offers both growth and value stocks as well as passively managed funds and active funds. Most importantly ...

The platform includes many of SoFi’s own in-house ETFs, much like Vanguard only uses its own funds. But unlike Vanguard ... its affiliates receive from the securities in your managed portfolio ...

The U.S. Securities and Exchange Commission said Andy Bechtolsheim, the co-founder of Sun Microsystems and Arista Networks, has agreed to pay almost $1 million to resolve claims that he committed ...