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Regulatory Actions July 27, 2021

27 Financial Firms Settle SEC Charges Over Form CRS Filing and Delivery Failures

A total of 27 financial firms (21 investment advisors and 6 broker-dealers) agreed to pay civil penalties to settle the charges filed against them by the Securities and Exchange Commission…

By – Marivic Cabural Summers
Latest news
Regulatory Actions July 9, 2021
St. Jude Medical to pay $27M to settle allegations it sold defective heart devices

St. Jude Medical reached an agreement to pay $27 million to settle allegations that it intentionally sold defective…

By Marivic Cabural Summers
Regulatory Actions July 8, 2021
Google Faces Second Antitrust Lawsuit Filed By Coalition of Attorneys General

A bipartisan coalition of 37 attorneys general (AGs) is determined to hold Google accountable for its alleged monopolistic…

By Marivic Cabural Summers
Regulatory Actions July 8, 2021
Trump Hits Twitter, Facebook, Google with Class Action Lawsuit

For years now, big tech platforms like Twitter, Facebook, and Google have come under fire for censorship. Republicans…

By Gabrielle Seunagal
Regulatory Actions July 7, 2021
SEC charges Parallax Health Sciences for making false claims about COVID-19 efforts

The U.S. Securities and Exchange Commission (SEC) sued Parallax Health Sciences (OTCMKTS: PRLX) for allegedly making false claims…

By Marivic Cabural Summers
Regulatory Actions June 28, 2021
Court Dismisses FTC, States’ Antitrust Charges Against Facebook

Facebook (NASDAQ: FB) scored a legal victory after a federal court dismissed the antitrust complaints filed against it…

By Marivic Cabural Summers
Regulatory Actions May 29, 2021
Tesla Safety Features Added to Model 3 and Model Y Monitor Driver Alertness 

Tesla is installing a driver monitoring system with the camera above the rear-view mirror to monitor driver alertness.…

By Jackie Allen
Regulatory Actions May 26, 2021
Senate Voting on $10 Billon Bailout For Jeff Bezos’ Blue Origin

Jeff Bezos CEO of Washington-state-based Blue Origin lost its bid to SpaceX for the moon landing NASA contract.…

By Jackie Allen
Regulatory Actions March 31, 2021
John Monarch, Shutdown by the SEC, Has Links to $100M+ Alleged Bank Fraud Scheme

Alert: John Monarch has submitted multiple false DMCA takedowns in an attempt to suppress the USA Herald articles.…

By Rochdi Rais
Regulatory Actions March 23, 2021
U.S. Labor Department Launches Website to Help Victims of Unemployment Insurance Fraud

The U.S. Department of Labor (DOL) launched a new website to help people who were victims of unemployment…

By Marivic Cabural Summers
Regulatory Actions March 19, 2021
uBiome Co-Founders Jessica Richman, Zachary Apte Charged With $60 Million Fraud

The co-founders of uBiome Inc., a bankrupt biotechnology company based in San Francisco, are facing civil and criminal…

By Marivic Cabural Summers

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