federal securities laws

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Bitcoin-funded securities dealer and CEO charged for law violations

28/09/2018(0)
The Securities and Exchange Commission filed charges against an international securities dealer and its Austria-based CEO for allegedly violating the federal securities laws in connection with security-based swaps funded ... Read More
Securities Exchange Commission

Broker ITG to pay more than $24.4 million to settle charges

13/01/2017(0)
The Securities and Exchange Commission today announced that broker ITG agreed to pay more than $24.4 million to settle charges that it violated federal securities laws when it prompted ... Read More
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SEC charges Former Bank Executive and Friend With Insider Trading

19/08/2014(0)
The Securities and Exchange Commission (SEC) has charged a former bank executive in Massachusetts and his friend with insider trading in advance of the bank’s acquisition of another financial ... Read More
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