By Aaron Nicodemus2021-06-10T19:41:00
Video game retailer GameStop, whose market volatility earlier this year led the so-called “meme stocks” craze, disclosed it is cooperating with an investigation launched by the Securities and Exchange Commission.
2021-10-14T16:16:00Z By Kyle Brasseur
SEC Investor Advocate Rick Fleming said online platforms designed to make stock trading more easily accessible and exciting “expose what may be a significant flaw in Reg BI” regarding unsolicited transactions.
2021-09-17T15:24:00Z By Aaron Nicodemus
A subsidiary of Massachusetts Mutual Life Insurance agreed to pay $4 million after apparently missing nearly two years’ worth of red flags by one of its broker-dealers that turned out to be a driving force behind the GameStop stock trading craze.
2021-08-31T18:33:00Z By Aaron Nicodemus
The SEC launched its first foray against risks posed by stock trading platforms like Robinhood with a request for information about how digital engagement practices affect the investment strategies of retail investors.
2025-09-26T19:28:00Z By Oscar Gonzalez
Amazon settled a complaint with the U.S. Federal Trade Commission Thursday over allegedly enrolling consumers into its Amazon Prime subscription and making it difficult to cancel. The FTC says the amount of the settlement is one of the biggest in its history.
2025-09-25T21:24:00Z By Ruth Prickett
Two of the biggest banks in Australia are under fire for major compliance and cultural failings. ANZ and National Australia Bank are facing intense scrutiny over misconduct ranging from mistreating customers to underpaying staff.
2025-09-23T20:42:00Z By Oscar Gonzalez
The U.S. Supreme Court temporarily allowed President Trump to remove a Federal Trade Commission commissioner without cause on Monday, setting up a final battle over whether he can dismiss commissioners despite congressional rules.
Site powered by Webvision Cloud