U.S. Securities and Exchange Commission

Editor's note: Please click here for an April 2024 update on the SEC's lawsuit against C3 International.  C3 International, a California-based cannabis company, refused to participate in a case in which it is being accused, along with its CEO and president, of defrauding at...

For blockchain innovator Ripple Labs (CRYPTO: XRP), the past two years have been fraught with uncertainties on account of the Securities and Exchange Commission (SEC) action in December 2020 regarding $1.3 billion of capital raised by the company’s co-founder Chris Larsen...

Twitter Inc (NYSE: TWTR) CEO Jack Dorsey is set to continue at the helm of the company after a board committee appointed earlier this year to look into leadership and succession recommended that the current management stays in place. What Happened: The committee, formed with the cooperation of...

Grayscale Investments announced Monday that its Grayscale Ethereum Trust (OTC: ETHE) now operates as a United States Securities and Exchange Commission reporting company. What Happened: The trust, solely invested in Ethereum, will now begin to disclose the amounts of money flowing through it....

San Francisco-based Affirm Holdings, Inc said Thursday that it has filed confidentially for an initial public offering with the United States Securities and Exchange Commission.  What Happened: The shares to be offered — and the price range of the IPO — are yet to be determined....

Former Uber Technologies Inc (NYSE: UBER) Chief Business Officer Emil Michael filed a Form S-1 with the U.S. Securities and Exchange Commission on Friday for the initial public offering of his newly-organized special purpose acquisition company (SPAC). What Happened: DPCM Capital Inc...

Texas-based home mortgage originator Caliber Home Loans Inc is gearing up for an initial public offering, according to the Wall Street Journal. Currently, the private equity firm Lone Star Funds owns Caliber Home Loans. What Happened: Caliber’s fundraising venture could...

Exxon Mobil Corporation (NYSE: XOM), in a filing with the U.S. Securities and Exchange Commission on Thursday, disclosed that its third-quarter earnings could fall well below analyst estimates, primarily due to the pandemic effect. The company estimates earnings for the quarter to be...

An Amazon.com, Inc (NASDAQ: AMZN) senior manager and her two family members were charged with insider trading by the United States Securities and Exchange Commission on Monday. What Happened: Laksha Bohra is alleged to have tipped her husband Viky Bohra about highly confidential information about...

Fiat Chrysler Automobiles NV (NYSE: FCAU) has agreed to pay a civil penalty of $9.5 million to settle U.S. Securities and Exchange Commission allegations of violating federal securities law by sharing misleading information with investors and stakeholders. What Happened: According to the...

McAfee Corp, on Monday, filed an S-1 form with the U.S. Securities and Exchange Commission for an initial public offering. The California-based cybersecurity company said it intends to list its common stock on the Nasdaq Stock Market under the symbol "MCFE." The underwriters...

Uber Technologies Inc (NYSE: UBER) filed a Form S-4 with the U.S. Securities and Exchange Commission in connection to its Postmates Inc acquisition deal on Friday, disclosing the food-delivery company's financials. In a best-case scenario, the management forecasts Postmates revenue growth...

Bayerische Motoren Werke AG (OTC: BAMXF) and two of its subsidiaries in the United States have settled charges Thursday related to their corporate bond offerings with the authorities. What Happened: The three companies allegedly disclosed inaccurate and misleading information on their...

JPMorgan Chase & Co (NYSE: JPM) is negotiating a settlement with authorities in the United States that would resolve allegations related to alleged manipulation of metals and Treasuries markets, the Financial Times reported Wednesday. What Happened: The $1 billion settlement would bring to halt...

Palanatir Technologies Inc in an updated filing with the U.S. Securities and Exchange Commission on Tuesday said it expects a 42% revenue growth this year. The privately funded software company is set to make its trading debut on the New York Stock Exchange on Sept. 30, according to...