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SEC

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SEC wins asset freeze against Chinese accused of insider trading

30/04/2015(0)
The U.S. Securities Exchange Commission won on Wednesday a court order to freeze the assets of two Chinese nationals accused of insider trading for their “remarkably timed” purchases of ... Read More
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SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers

17/04/2015(0)
The Securities and Exchange Commission today announced fraud charges against a New York City-based financial advisor accused of stealing at least $20 million from customers to fund his own ... Read More
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Big U.S. investors push SEC for oil industry to detail risks of climate change

17/04/2015(0)
Calpers, the largest American public pension fund, and nearly 60 other institutional investors will ask the U.S. Securities and Exchange Commission on Friday to require oil and natural gas companies to publish ... Read More
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SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors

31/03/2015(0)
The Securities and Exchange Commission today announced fraud charges against an investment adviser and her New York-based firms accused of hiding the poor performance of loan assets in three ... Read More
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SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

27/03/2015(0)
The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering ... Read More
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Consumer groups accuse SEC of ignoring investors

13/03/2015(0)
The Securities and Exchange Commission is not fulfilling its duty to protect retail investors, particularly in how it regulates financial advisers, a number of consumer groups asserted in a ... Read More
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SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules

05/03/2015(0)
The Securities and Exchange Commission today charged an Irving, Texas-based brokerage firm with violating key customer protection rules after failing to adequately supervise registered representatives who misappropriated customer funds. ... Read More
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The Price of Oil Is About to Blow a Hole in Corporate Accounting

04/03/2015(0)
There’s one place in the world where oil is still $95 a barrel. On paper. The U.S. Securities and Exchange Commission requires drillers to calculate the value of their ... Read More
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SEC Suspends Trading in 128 Dormant Shell Companies

03/03/2015(0)
The Securities and Exchange Commission has issued an announcement informing that: It has suspended trading in 128 inactive penny stock companies to ensure they don’t become a source for ... Read More
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SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions

20/02/2015(0)
The Securities and Exchange Commission today charged a New York City-based brokerage firm and its CEO with fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt ... Read More
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