Christopher Knauth allegedly performed an audit of a public company even though his firm was not registered with the PCAOB.
The regulator indicated how it will implement a law aimed at delisting Chinese companies that do not meet U.S. auditing standards.
The SEC says Jessica Richman and Zachary Apte misrepresented that their biotech startup was generating reliable revenue from insurance reimbursements.
Stepping up enforcement efforts through the new climate and ESG task force should not take precedence over rulemaking, the Chamber says.
“Climate risks and sustainability are critical issues for the investing public and our capital markets,” Acting Chair Allison Herren Lee says.
The SEC must ensure that crypto markets "are free of fraud and manipulation,” Gary Gensler told the Senate Banking Committee.
Kelly Kabilafkas allegedly orchestrated a fraud that culminated in him and his associates dumping shares in Airborne Wireless Network.
“Now more than ever, investors are considering climate-related issues when making their investment decisions,” Acting Chair Allison Herren Lee says.
The crypto platform allegedly sold tokens without registering the offerings and misrepresented the financial services experience of its former CFO.
The firm allegedly made undisclosed changes to its ratings model that allowed issuers to shortchange investors on interest.
Companies should address “the effects of a potential ‘short squeeze’ due to a sudden increase in demand for your stock.”
Hindenburg Research faulted the insurer for not disclosing it was under investigation by the U.S. Department of Justice.
