SA 1933 Rule 17(a)
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SEC dings Becton Dickinson $175m for misrepresenting product risks
The company failed to properly inform investors about regulatory challenges it was experiencing with the FDA.
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DOJ, SEC charge ex-WAMCO CIO Ken Leech with fraud
The charges allege that Leech effectively siphoned money from unfavored portfolios into favored ones.
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FINRA disciplinary action update 2024/45
Disciplinary decisions issued November 16 – 22, 2024.
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Indian billionaire Gautam Adani and associates indicted for massive bribery scheme
US investigators allege that Adani and co-conspirators bribed Indian officials and lied to investors.
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Elanco fined $15m for Reg S-K misrepresentations
Elanco’s use of sales incentives created misleading impressions of customer demand, the SEC stated.
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Trading firm dinged for using buzzwords about purported AI capabilities
The SEC also accused the pair of lying to investors about Rimar’s assets under management.