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SEC

Securities Exchange Commission

SEC fined 13 Investment Advisory Firms

26/08/2016(0)
The Securities and Exchange Commission today announced penalties against 13 investment advisory firms found to have violated securities laws by spreading the false claims made by an investment management ... Read More
Securities Exchange Commission

SEC charged Apollo Global Management for misleading fund investors

24/08/2016(0)
The Securities and Exchange Commission today announced that four private equity fund advisers affiliated with Apollo Global Management have agreed to a $52.7 million settlement for misleading fund investors ... Read More
deutsche bank

Accounting whistleblower turns down multi-million reward

22/08/2016(0)
A whistleblower whose information helped reveal false accounting at Deutsche Bank has turned down a huge financial reward from the Securities and Exchange Commission in protest of failure to punish wrong-doing ... Read More
Securities Exchange Commission

SEC Charges Former Professional Football Player With Running $10 Million Fraud

11/08/2016(0)
The Securities and Exchange Commission today charged Merrill Robertson Jr., a former player for the Philadelphia Eagles, with defrauding investors, including coaches he knew from his time playing football ... Read More
Securities Exchange Commission

SEC reports millions dollars investment fraud

01/08/2016(0)
The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren’t registered to sell investments and allegedly went on lavish shopping sprees ... Read More
Securities Exchange Commission

SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades

27/07/2016(0)
The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay $382.4 million in a global settlement for misleading mutual funds and ... Read More
Securities Exchange Commission

NYC Audit Firm to pay penalty for failing to spot fraud in financial statements of a public company

25/07/2016(0)
The Securities and Exchange Commission suspended an accountant for conducting a faulty audit of the financial statements of a public company that was committing fraud, and the firm where he ... Read More
Securities Exchange Commission

SEC Halts Ongoing Fraudulent Stock Scheme

25/07/2016(0)
The Securities and Exchange Commission today announced it has won a court-ordered asset freeze to halt an ongoing fraud by two former brokers with disciplinary histories who allegedly raised ... Read More
Securities Exchange Commission

SEC: Citigroup agreed to pay a $7 million penalty in relation with information of trades it executed

13/07/2016(0)
The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay a $7 million penalty and admit wrongdoing to settle charges that a computer coding ... Read More
solidx

SolidX Files S-1 Registration Statement for SolidX Bitcoin Trust ETF

13/07/2016(0)
SolidX Partners Inc., an innovative blockchain technology company, today announced that it has filed a registration statement on Form S-1 with the Securities and Exchange Commission relating to the ... Read More
Broker Cyprus TopFX