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

SEC

SEC_logo

SEC charged a former Deutsche Bank research analyst

19/02/2016(0)
The Securities and Exchange Commission today charged a former Deutsche Bank research analyst with certifying a rating on a stock that was inconsistent with his personal view. An SEC ... Read More
Boeing

Boeing Chief Defends Accounting Practice

18/02/2016(0)
Dennis Muilenburg ‘very confident’ in bookkeeping system days after report alleging SEC probe Boeing Co. Chief Executive Dennis Muilenburg on Wednesday defended the aerospace company’s accounting practices and corporate strategy in the wake ... Read More
SEC- Headquarters

SEC fined brokerage firm for violated anti-money laundering rules

05/02/2016(0)
The Securities and Exchange Commission announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign ... Read More
SEC_logo

SEC Charges Lending Company and Brokerage Firm With Fraud

04/02/2016(0)
The Securities and Exchange Commission announced fraud charges against a Manhattan-based lending company and its owner accused of repeatedly lying to investors purchasing high-yield securities. The SEC also charged the ... Read More
sec-logo

Barclays, Credit Suisse Charged With Dark Pool Violations

01/02/2016(0)
The latest update regarding the charges is that Barclays and Credit Suisse Agree to Dark Pools Settlements Barclays Plc and Credit Suisse Group AG agreed to settle allegations by ... Read More
SEC_logo

SEC: Alternative Fund Manager Overcharged Fees, Misled Investors

20/01/2016(0)
The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the firm overcharged management fees and misled investors about how ... Read More
sec-logo

SEC Awards Whistleblower More Than $700,000 for Detailed Analysis

18/01/2016(0)
The Securities and Exchange Commission announced a whistleblower award of more than $700,000 to a company outsider who conducted a detailed analysis that led to a successful SEC enforcement ... Read More
SEC- Headquarters

SEC Charges Goldman Sachs

15/01/2016(0)
SEC Charges Goldman Sachs With Improper Securities Lending Practices The Securities and Exchange Commission announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that ... Read More
SEC_logo

SEC Charges 11 Bank Officers and Directors With Fraud

14/01/2016(0)
The Securities and Exchange Commission today announced fraud charges against 11 former executives and board members at Superior Bank and its holding company involved in various schemes to conceal ... Read More
SEC_logo

SEC: J.P. Morgan Misled Customers on Broker Compensation

07/01/2016(0)
The Securities and Exchange Commission announced that J.P. Morgan’s brokerage business agreed to pay $4 million to settle charges that it falsely stated on its private banking website and in ... Read More
Broker Cyprus TopFX