Regulation
Cantor Fitzgerald Settles SEC Charges Over Misleading SPAC Disclosures
The firm will pay a $6.8 million fine for allegedly making false statements in regulatory filings.
Tag: Sanjay Wadhwa
Regulation
Invesco Pays $17.5M Fine to Settle SEC Greenwashing Charges
However, the future of ESG regulation in the U.S. is unclear under a second Trump administration.
Risk
Investment Adviser CIO Charged with Running Ponzi-Like Scheme
David Hu could face up to 45 years in prison for allegedly selling $60 million in fake loans.