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SEC

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SEC Pays More Than $3 Million to Whistleblower

20/07/2015(0)
The Securities and Exchange Commission announced a whistleblower award of more than $3 million to a company insider whose information helped the SEC crack a complex fraud. The multi-million dollar ... Read More
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SEC Charges Purported Investment Adviser With Stealing Client Funds and Conducting a Ponzi Scheme

17/07/2015(0)
The Securities and Exchange Commission charged a purported investment adviser in San Diego with stealing money from clients for personal use and conducting a Ponzi scheme to pay customers making ... Read More
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SEC: OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets”

15/07/2015(0)
The Securities and Exchange Commission today charged OZ Management LP with providing inaccurate trade data to four prime brokers, causing inaccuracies in the brokers’ books and records and in ... Read More
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SEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors

07/07/2015(0)
The Securities and Exchange Commission today charged a Bay Area oil and gas company and its CEO with running a $68 million Ponzi-like scheme and affinity fraud that targeted ... Read More
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Study: Penalties Levied by Financial Watchdogs Spiked in 2014

02/07/2015(0)
Financial regulators in the United States, United Kingdom, and Hong Kong have decreased their agency expenditures but increased the penalties they’ve levied, according to a new report by regulatory, ... Read More
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SEC Charges Former Stockbroker With Conducting Ponzi Scheme

02/07/2015(0)
The Securities and Exchange Commission today charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor money to purchase a condominium in Florida and afford ... Read More
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SEC Charges Deloitte & Touche With Violating Auditor Independence Rules

02/07/2015(0)
The Securities and Exchange Commission charged Deloitte & Touche LLP with violating auditor independence rules when its consulting affiliate maintained a business relationship with a trustee serving on the ... Read More
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SEC Charges Goldman Sachs With Violating Market Access Rule

01/07/2015(0)
The Securities and Exchange Commission charged Goldman, Sachs & Co. with violating the market access rule in connection with a trading incident that resulted in erroneous executions of options contracts. ... Read More
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SEC Charges KKR With Misallocating Broken Deal Expenses

30/06/2015(0)
The Securities and Exchange Commission today charged Kohlberg Kravis Roberts & Co. (KKR) with misallocating more than $17 million in so-called “broken deal” expenses to its flagship private equity ... Read More
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J.P. Morgan, SEC in Settlement Talks Over Product Steering

25/06/2015(0)
J.P. Morgan, other banks have faced more scrutiny on conflicts policies from OCC J.P. Morgan Chase & Co. is in talks with the Securities and Exchange Commission to settle a ... Read More
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