Regulators probe block trading at Wall Street banks, hedge funds
REUTERS
Federal investigators have launched a probe into block trading at Wall Street hedge funds and banks including Morgan Stanley (MS.N) and Goldman Sachs Group Inc (GS.N), the Wall Street Journal reported, citing people familiar with the matter. read more »
Blog
Acting AG Bruck Announces $20.5 Million Settlement over Allegations Academy Bus Fraudulently Billed NJ Transit
NJ AG
SEC Says It Won’t Limit Whistleblower Payouts
WSJ
The Securities and Exchange Commission said Thursday that it was revising two amendments governing the rules of its whistleblower program to address concerns that they would discourage tipsters from coming forward. read more »
SEC Proposed Changes to Two Whistleblower Program Rules
SEC
Private fund advisers to spell out fees, performance under new U.S. SEC proposals
REUTERS
The U.S. Securities and Exchange Commission (SEC) on Wednesday voted to propose heightened regulations meant to scrutinize how private fund advisers charge fees to investors and measure fund performance. read more »
CFTC Charges Florida-Based Entities and Individuals with Multi-Million Dollar Futures and Forex Fraud
CFTC
Tesla receives subpoena from U.S. securities regulator over 2018 settlement
REUTERS
Tesla Inc (TSLA.O) said on Monday it received a subpoena from the U.S. securities regulator related to a settlement that required Chief Executive Elon Musk's tweets on material information to be vetted. read more »
Justice Department’s False Claims Act Settlements and Judgments Exceed $5.6 Billion in Fiscal Year 2021
DOJ
SEC Files Fraud Charges Alleging a Multi-Million Dollar Scheme that Targeted Retirement Accounts
SEC
The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age.
Cardinal Health Agrees to Pay More than $13 Million to Resolve Allegations that it Paid Kickbacks to Physicians
DOJ
Will the games stop? SEC mulls crackdown on trading apps
REUTERS
A year after the "meme stock" rally humbled hedge funds and roiled Wall Street, U.S. regulators are studying ways to crack down on psychological prompts used by Robinhood Inc (HOOD.O) and other commission-free brokers to promote frequent stock trading on smartphone apps. read more »
2021 at the U.S. Securities and Exchange Commission
SEC - YOUTUBE
DOJ's dismissal of whistleblower's fraud case against drugmakers upheld
REUTERS
SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
SEC
SCOTUS asks top lawyer: How much detail needed to plead false claims?
REUTERS
The U.S. Supreme Court on Tuesday signaled interest in a whistleblower’s lawsuit against Georgia-based Bethany Hospice and Palliative Care LLC by asking for Solicitor General Elizabeth Prelogar’s views of how much detail is necessary to plead fraud “with particularity” under the False Claims Act. read more »
SEC's 'shadow trading' case can move forward, judge rules
REUTERS
The U.S. Securities and Exchange Commission can pursue a first-of-its-kind insider trading case accusing a former pharmaceutical company executive of trading in a competitor's stock ahead of a merger, a judge in San Francisco ruled. read more »
Lab Owner Pleads Guilty to $6.9 Million Genetic Testing & COVID-19 Testing Fraud Scheme
DOJ
Diabetic Shoe Company Agrees to Pay $5.5 Million to Resolve False Claims Act Allegations Regarding “Custom” Shoe Inserts
DOJ
UC San Diego Health Pays $2.98 Million to Resolve Allegations of Ordering Unnecessary Genetic Testing
DOJ
SEC Issues Awards Totaling More Than $4 Million to Two Whistleblowers
SEC
