Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

SEC Charges

Credit Suisse branch is seen in New York

Credit Suisse to pay millions in dollars to settle criminal penalty and charges

09/07/2018(0)
The Securities and Exchange Commission announced that Credit Suisse Group AG will pay approximately $30 million to resolve SEC charges that it obtained investment banking business in the Asia-Pacific ... Read More
Securities Exchange Commission

Investment advisory firm agreed to pay $300,000 to settle SEC charges

15/07/2016(0)
The Securities and Exchange Commission today announced an enforcement action against an investment advisory firm that failed to properly prepare clients for additional transaction costs beyond the “wrap fees” ... Read More
sec

Brokerage firm agreed to pay $300,000 to settle SEC charges

02/06/2016(0)
The Securities and Exchange Commission today charged a Wall Street-based brokerage firm with failing to sufficiently evaluate or monitor customers’ trading for suspicious activity as required under the federal ... Read More
Financial-News-Header

Top news of the day, May 27

27/05/2015(0)
1.FDI into Europe hits a new record with US$305b attracted into the region in 2014, translating to a 36% year-on-year growth, despite global growth slowdown. Last year alone, 43 ... Read More
SEC- Headquarters

SEC Charges Oppenheimer

28/01/2015(0)
The Securities and Exchange Commission today charged Oppenheimer & Co. with violating federal securities laws while improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheimer agreed ... Read More
Broker Cyprus TopFX