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Securities

Securities Law360 provides breaking news and analysis on securities law and corporate governance. Coverage includes high-stakes shareholder litigation, government enforcement actions, and related policy developments.



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Latest News in Securities

  • September 22, 2023

    Envision Inks $177M Deal In Billing Practices Securities Suit

    Pension fund investors asked a Tennessee federal judge Friday to bless the $177.5 million settlement they reached with Envision Healthcare Corp. to resolve their claims the health care services provider and its directors misled them about its allegedly improper billing practices.

  • September 22, 2023

    SEC Fines Broker-Dealer For Slacking On Reg BI Compliance

    A Wisconsin broker-dealer has agreed to pay $50,000 to resolve U.S. Securities and Exchange Commission allegations it ran afoul of regulations aiming to ensure firms act in their clients' best interests and avoid potential conflicts of interest.

  • September 22, 2023

    SEC Suit Accuses 4 Of Taking Part In $196M Ponzi Fraud

    The U.S. Securities and Exchange Commission sued four people connected to merchant cash advance business MJ Capital Funding LLC on Friday in Florida federal court on allegations they played a role in facilitating a $196 million Ponzi scheme, saying they helped raise money by selling unregistered securities and made misrepresentations to investors.

  • September 22, 2023

    Investor Seeks Bank Docs Over 'Red Pants' Chair's Jet Use

    A single-branch community bank in Colorado has been using its assets to support the "extravagant lifestyle" of its eccentrically dressed executive chair who also flaunts his use of the bank's private aircraft online, according to a Friday suit seeking the lender's books and records.

  • September 22, 2023

    Goldman Sachs To Pay $12M For Trade Data Reporting Gaffes

    Financial services giant Goldman Sachs agreed to pay the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority $6 million apiece Friday over claims that it failed in its recordkeeping and reporting obligations when it handed over inaccurate trading data in response to thousands of regulatory requests.

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Securities

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