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SEC

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Credit Suisse to Pay $4.25 Million and Admits to Providing Deficient “Blue Sheet” Trading Data

29/09/2015(0)
The Securities and Exchange Commission today charged Credit Suisse Securities (USA) LLC with submitting deficient information to the agency over a two-year period about trades done by its customers, ... Read More
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SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases

15/09/2015(0)
Litigation Continues Against 32 Other Defendants in Alleged $100 Million Scheme The Securities and Exchange Commission today announced that Ukrainian-based Jaspen Capital Partners Limited and CEO Andriy Supranonok have ... Read More
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Ex-Wells Fargo trader beats SEC insider trading charges

15/09/2015(0)
A former Wells Fargo & Co trader on Monday was cleared of insider trading charges brought by the U.S. Securities and Exchange Commission after a major appellate decision limited ... Read More
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SEC Announces Fraud Charges Against Financial Adviser

10/09/2015(0)
SEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program The Securities and Exchange Commission announced fraud charges ... Read More
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SEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions

10/09/2015(0)
The Securities and Exchange Commission today charged national audit firm BDO USA with dismissing red flags and issuing false and misleading unqualified audit opinions about the financial statements of ... Read More
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SEC Charges Three RMBS Traders With Defrauding Investors

09/09/2015(0)
The Securities and Exchange Commission today announced fraud charges against three traders accused of repeatedly lying to customers relying on them for honest and accurate pricing information about residential ... Read More
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SEC Charges Hedge Fund Adviser

07/09/2015(0)
The Securities and Exchange Commission (SEC) has issued a press release to inform that the Commission charges Seattle-Area Hedge Fund Adviser With Taking Unearned Management Fees. Two Accountants Charged ... Read More
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SEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area

26/08/2015(0)
The Securities and Exchange Commission today announced an asset freeze obtained against a man in Bellevue, Wash., accused of defrauding Chinese investors seeking U.S. residency through the EB-5 Immigrant ... Read More
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SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals

26/08/2015(0)
The Securities and Exchange Commission today charged a former investment bank analyst with illegally tipping his close friend with confidential information about clients involved in impending mergers and acquisitions ... Read More
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SEC Charges Citigroup and agreed to pay $15 million

20/08/2015(0)
SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures The Securities and Exchange Commission  announced that Citigroup Global Markets has agreed to settle charges that it failed to ... Read More
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