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SEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week

24/06/2015(0)
The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of a trader in China who profited by more than $1 million after trading ... Read More
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SEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program

24/06/2015(0)
The Securities and Exchange Commission today charged two firms that illegally brokered more than $79 million of investments by foreigners seeking U.S. residency.  The charges are the first against ... Read More
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SEC Announces Enforcement Action for Illegal Offering of Security-Based Swaps

18/06/2015(0)
The Securities and Exchange Commission today announced an enforcement action against a company that illegally offered complex derivatives products to retail investors. The Dodd-Frank Act implemented two key requirements ... Read More
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Swiss Trader to Pay $2.8 Million to Settle Insider Trading Charges

16/06/2015(0)
The Securities and Exchange Commission announced that a Swiss trader has agreed to pay more than $2.8 million to settle charges that he traded on nonpublic information ahead of a ... Read More
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SEC Announces Charges Against Compliance Director Accused of Defrauding Investors and Stealing Brokerage Firm Assets

29/05/2015(0)
The Securities and Exchange Commission today announced fraud charges against a Long Island man accused of fleecing investors and stealing money from a brokerage firm where he worked as ... Read More
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SEC Charges Deutsche Bank With Misstating Financial Reports During Financial Crisis

27/05/2015(0)
The Securities and Exchange Commission today charged Deutsche Bank AG with filing misstated financial reports during the height of the financial crisis that failed to take into account a ... Read More
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SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

21/05/2015(0)
The Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm. The SEC alleges that as Arjent LLC and its UK-based affiliate Arjent ... Read More
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U.S. SEC a stumbling block in banks’ forex guilty pleas – sources

15/05/2015(0)
Banks want assurances from U.S. regulators that they will not be barred from certain businesses before agreeing to plead guilty to criminal charges over the manipulation of foreign exchange ... Read More
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SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies

08/05/2015(0)
The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen ... Read More
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Credit Suisse dropped SEC waiver request amid opposition – sources

05/05/2015(0)
Credit Suisse (CSGN.VX) has quietly withdrawn a request for a waiver to raise capital more easily, after U.S. Securities and Exchange Commission staffers told the bank in recent weeks it ... Read More
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