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SEC warns for fraudsters who may attempt to manipulate share prices by using social media

06/11/2015(0)
The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate ... Read More
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SEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case

05/11/2015(0)
The Securities and Exchange Commission announced it has identified three additional individuals to charge in a penny stock manipulation case the agency filed last year against alleged corrupt brokers ... Read More
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BaFin and the SEC: An international comparison of supervisory practice

03/11/2015(0)
The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) is often compared to the U.S. Securities and Exchange Commission (SEC) in the media and by the public. The ... Read More
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SEC Bars Brokers Who Played Favorites to Double Their Commissions

02/11/2015(0)
The Securities and Exchange Commission today barred two brokers at a now-defunct Connecticut brokerage for giving customer order information to certain favored customers, helping those customers get better prices ... Read More
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SEC announced settlement of charges with two UBS Advisory Firms

20/10/2015(0)
Two UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy Settlement Will Return More Than $13 Million to Harmed Investors The Securities and Exchange ... Read More
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UBS to Pay $19.5 Million Settlement Involving Notes Linked to Forex trading strategy

14/10/2015(0)
Case Is Agency’s First Against an Issuer of Retail Structured Notes The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle ... Read More
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SEC charged Trading Company With failing to maintain Policies to prevent misuse of Material Nonpublic Information

13/10/2015(0)
The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and enforce policies and procedures to prevent the misuse of ... Read More
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SEC: Worldwide pyramid scheme operator misled investors

05/10/2015(0)
SEC Halts $32 Million Scheme That Promised Riches From Amber Mining The USA regulator, Securities and Exchange Commission (SEC), has issued an announcement to inform that it has filed ... Read More
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SEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules

02/10/2015(0)
The Securities and Exchange Commission today charged Grant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited with auditor independence violations that occurred when two Grant Thornton Mauritius ... Read More
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UBS Unit to Pay $34 Million in Settlements Over Puerto Rico Bond Funds

30/09/2015(0)
Settlements stem from former broker who had customers invest borrowed money in the funds A unit of UBS Group AG agreed to pay roughly $34 million in settlements with ... Read More
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