Ethiopian Electric Power failed to register a $5.8 million bond offering to the Ethiopian diaspora in the United States.
Morgan Stanley failed to adopt written policies and procedures reasonably designed to protect customer data, says the SEC.
T. Rowe Price mistakenly voted its 31 million shares in favor of the takeover by Dell's founder and is compensating investors to make up for it.
How Bryan Sullivan, previously a PIMCO portfolio manager, uses that experience as the finance chief of loanDepot.
Michael Maciocio allegedly misused confidential information about potential Pfizer deals to make trades himself and tip off a stockbroker friend.
The SEC says Haena Park misrepresented her trades were profitable while losing more than $16 million in investor funds since 2012.
Albert Fried & Co. agrees to pay $300,000 to settle SEC charges that the broker failed to report suspicious trading by institutional investors.
J&J buys shampoo and hair styling products firm for $3.3 billion.
The bank is eyeing the capital markets' response to its largely unprecedented move of securitizing operational risks.
The tips enabled the plumber to trade ahead of merger announcements and profit from the rise in targets' share prices, said the SEC.