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SEC

Securities Exchange Commission

SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules

19/12/2016(0)
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against the CEO of a Utah-based broker-dealer and two registered persons associated with the firm for causing the firm’s ... Read More
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Two traders charged in $26 Million Stock Manipulation Scheme

13/12/2016(0)
SEC Files Charges in $26 Million Stock Manipulation Scheme The Securities and Exchange Commission today charged two New Jersey-based traders with manipulating more than 2,000 NYSE- and NASDAQ-traded stocks ... Read More
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Enforcement Director Andrew J. Ceresney to Leave SEC

09/12/2016(0)
The Securities and Exchange Commission today announced that Enforcement Director Andrew J. Ceresney will leave the agency by the end of the year. During his nearly four years as ... Read More
Securities Exchange Commission

SEC Awards $3.5 Million To Whistleblower

06/12/2016(0)
The Securities and Exchange Commission today announced that a whistleblower has been awarded approximately $3.5 million for coming forward with information that led to an SEC enforcement action. “Whistleblowers ... Read More
Securities Exchange Commission

PIMCO to pay nearly $20 million to settle Charges

02/12/2016(0)
The Securities and Exchange Commission today announced that investment management firm Pacific Investment Management Company (PIMCO) agreed to retain an independent compliance consultant and pay nearly $20 million to ... Read More
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Tesla Motors under fire for using prohibited accounting metrics

01/12/2016(0)
Tesla Motors Inc. has come under fire from the Securities and Exchange Commission for using prohibited accounting metrics and sharing that information with investors, according to regulatory correspondence. The ... Read More
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T-Mobile’s accounting slammed by investor group in letter to SEC

24/11/2016(0)
MarketWatch is not alone in criticizing wireless operator T-Mobile US. Inc. for its accounting. An investor group sent a formal letter of complaint to the Securities and Exchange Commission ... Read More
Securities Exchange Commission

JPMorgan Chase Paying $264 Million to Settle FCPA Charges

18/11/2016(0)
The Securities and Exchange Commission today announced that JPMorgan Chase & Co. has agreed to pay more than $130 million to settle SEC charges that it won business from ... Read More
Securities Exchange Commission

SEC Chair Mary Jo White Announces Departure Plans

15/11/2016(0)
SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration. Under Chair ... Read More
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Israeli-based firm must pay more than $1.7 million for misleading investors into trading binary options

11/11/2016(0)
The Securities and Exchange Commission announced that an Israeli-based firm must pay more than $1.7 million for misleading investors into trading binary options over the internet, and the agency warned ... Read More
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