The SEC says William Sadleir defrauded a BlackRock fund by using money it had invested in Aviron for personal expenses including a Beverly Hills mansion.
A bipartisan bill could result in Chinese firms being delisted from U.S. exchanges if they do not submit their audit reports to U.S. regulators.
The three auditors agreed to suspensions for violating auditor integrity rules by improperly sharing answers to internal training tests.
The engineering firm is facing investigations into its accounting by the SEC and Department of Justice.
The commission has halted trading in the shares of three companies that have said they are developing a drug candidate for treating COVID-19.
The health-care company allegedly made bogus claims it had created a “direct pipeline from manufacturers and suppliers to buyers” of N95 masks.
The SEC says former CFO William Aisenberg and two colleagues improperly recognized revenue to inflate the work glove maker's revenue by as much as 24%.
The justices appeared skeptical that the SEC exceeded its powers by obtaining a $27 million disgorgement order against a California couple.
The SEC says Cardinal employees made improper payments to boost the sales of a skincare company whose products they were distributing in China.
The commission rejected a proposal to delay incoming executable orders on a Cboe exchange to curb a strategy used by high-frequency traders.
“This case illustrates a complete failure of leadership at multiple levels within the bank," a prosecutor says.
The SEC says the liquor company misled investors that it was achieving growth in key performance indicators through normal customer demand.
