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SEC

Securities Exchange Commission

Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program

25/01/2017(0)
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney and Citigroup Global Markets have agreed to pay more than $2.96 million apiece to settle charges that ... Read More
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SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme

24/01/2017(0)
The Securities and Exchange Commission (SEC) announced fraud charges and an emergency asset freeze obtained against a businessman in South Carolina accused of siphoning funds he raised from investors for ... Read More
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Shipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities

24/01/2017(0)
The Securities and Exchange Commission today charged shipping conglomerate Overseas Shipholding Group (OSG) and its former chief financial officer Myles R. Itkin with failing to recognize hundreds of millions ... Read More
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Yahoo Faces SEC Probe Over Data Breaches

23/01/2017(0)
U.S. authorities are investigating whether Yahoo Inc.’s two massive data breaches should have been reported sooner to investors, according to people familiar with the matter, in what could prove ... Read More
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SEC Establishes Supervisory Cooperation Arrangement With Hong Kong SFC

20/01/2017(0)
The Securities and Exchange Commission today announced that it has established a comprehensive arrangement with the Hong Kong Securities and Futures Commission (SFC) as part of the SEC’s long-term ... Read More
Securities Exchange Commission

10 investment advisory firms have agreed to pay penalties to settle charges

18/01/2017(0)
10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions The Securities and Exchange Commission today announced that 10 investment advisory firms have agreed to pay ... 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
Securities Exchange Commission

BNY Mellon has agreed to pay a $6.6 million penalty

13/01/2017(0)
The Securities and Exchange Commission today announced that BNY Mellon has agreed to pay a $6.6 million penalty to settle charges stemming from miscalculations of its risk-based capital ratios ... Read More
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Brokers used in-and-out trading strategy to defraud customers

10/01/2017(0)
The Securities and Exchange Commission today charged two New York-based brokers with fraudulently using an in-and-out trading strategy that was unsuitable for customers in order to generate hefty commissions ... Read More
Securities Exchange Commission

SEC Awards $5.5 Million to Whistleblower

09/01/2017(0)
The Securities and Exchange Commission today announced an award of more than $5.5 million to a whistleblower who provided critical information that helped the SEC uncover an ongoing scheme. ... Read More
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