News list for " due to failure"

The Securities Exchange Commission (SEC) has announced that it has fined 23 entities and individuals more than $3.80 million for failing to promptly report information on their holdings and transactions in public company stocks. The charges relate to the failure to file Form 13D, 13G, and 3, 4, and 5 as required. Among the companies fined were Alphabet ($750,000) and Goldman Sachs ($300,000). Others, such as Sunbeam Management and TALANTA Investment Group, saw fines ranging from $40,000 to...

2024-09-26 05:18:28