FRANKFURT/WASHINGTON — The U.S. Department of Justice (DOJ) investigation into German insurer Allianz is looking at possible misconduct by fund...
Articles by Chris Prentice and Tom Sims
The Kraft Heinz Company and two former executives have agreed to pay more than $62 million to settle charges they...
The U.S. Securities and Exchange Commission (SEC) will seek input on whether digital customer engagement innovations used by financial firms...
Robinhood Markets Inc, the online brokerage at the center of this year’s retail trading frenzy, disclosed on Thursday previously unreported...
Wall Street accountants and lawyers are trying to figure out new equity agreements to lure investors back to the blank-check...
U.S. securities regulator is considering new guidance to rein in growth projections made by listed blank-check companies, and clarify when...
The U.S. securities regulator has opened an inquiry into Wall Street’s blank check acquisition frenzy and is seeking information on...
With Democrats at the helm, the U.S. securities regulator is pledging to crack down on companies and funds that mislead...
Wells Fargo & Co. has agreed to pay $3 billion to resolve criminal and civil probes into fraudulent sales practices...
Enforcement activity by the U.S. Securities and Exchange Commission in fiscal 2019 resulted in $4.3 billion in fines and disgorgements,...