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SEC

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SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer

12/02/2015(0)
The Securities and Exchange Commission today announced charges against an Atlanta resident accused of insider trading in the stock of a technology company by exploiting nonpublic information he learned ... Read More
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SEC Charges Former Brokerage CEO for His Role in Fraudulent Scheme

11/02/2015(0)
The Securities and Exchange Commission today announced that the former CEO of a global investment services firm’s brokerage subsidiary agreed to pay more than $783,000 and admit wrongdoing to ... Read More
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SEC Proposes Rules for Hedging Disclosure

10/02/2015(0)
Amendments Would Enhance Corporate Disclosure of Hedging Policies for Officers, Directors and Employees The Securities and Exchange Commission today announced it has approved the issuance of proposed rules that ... Read More
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SEC Imposes Sanctions Against China-Based Members of Big Four Accounting Networks for Refusing to Produce Documents

09/02/2015(0)
The Securities and Exchange Commission today imposed sanctions against four China-based accounting firms that had refused to turn over documents related to investigations of potential fraud. The China-based firms ... Read More
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SEC probes Blackberry options trading ahead of Reuters report about Samsung talks

06/02/2015(0)
The U.S. Securities and Exchange Commission is investigating a January 14 spike in trading in BlackBerry Ltd options that took place hours before Reuters reported that Samsung Electronics Co ... Read More
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SEC Alerts Investors, Industry on Cybersecurity

04/02/2015(0)
The Securities and Exchange Commission today released publications that address cybersecurity at brokerage and advisory firms and provide suggestions to investors on ways to protect their online investment accounts. ... Read More
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SEC Charges Oppenheimer

28/01/2015(0)
The Securities and Exchange Commission today charged Oppenheimer & Co. with violating federal securities laws while improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheimer agreed ... Read More
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SEC announces fraud charges against Investment Adviser

23/01/2015(0)
The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a ... Read More
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SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct

22/01/2015(0)
The Securities and Exchange Commission today announced a series of federal securities law violations by Standard & Poor’s Ratings Services involving fraudulent misconduct in its ratings of certain commercial ... Read More
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SEC Charges UBS Subsidiary With Disclosure Violations and Other Regulatory Failures in Operating Dark Pool

16/01/2015(0)
The Securities and Exchange Commission today charged a subsidiary of UBS with disclosure failures and other securities law violations related to the operation and marketing of its dark pool. ... Read More
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