Summit Man Charged In $294 Million Securities Fraud, Conspiracy Case

Jeffrey Spotts is charged with one count of conspiracy to commit wire fraud, wire fraud, conspiracy to commit securities ...
Financial Planning

Morgan Stanley To Pay $100,000 to NJ Bureau of Securities

Morgan Stanley and Co. has agreed to pay $100,000 to the New Jersey Bureau of Securities. This came after Bureau investigators found the company was in violation of state securities laws and ...

Exscientia Wins Dismissal of Investor Suit Over CEO Misconduct

A federal judge in New Jersey dismissed securities-fraud claims against an AI drug discovery company, rejecting assertions that failing to disclose the Exscientia CEO’s alleged sexual misconduct ...

U.S. SEC official says closely watching exchange spat with New Jersey

The U.S. Securities and Exchange Commission is closely watching a plan being considered by U.S. stock exchanges to move their main electronic trading systems from New Jersey if the state levies a ...