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SEC

SEC

SEC Charges Unregistered Broker With Stealing From Investors in Fraudulent Day Trading Scheme

19/11/2014(0)
The SEC alleges that Albert J. Scipione and his business partner solicited investors to establish accounts at their company called Traders Café for the purposes of day trading, which ... Read More
SEC

SEC Seeks $329 Million From Wylys in Illegal Trading Case

13/11/2014(0)
Samuel Wyly and the estate of his brother Charles should pay $329 million for using offshore accounts to hide stock holdings and engage in illegal trading, regulators argued in ... Read More
SEC

SEC to Impose Penalties More Often in Muni Fraud Cases

11/11/2014(0)
The U.S. Securities and Exchange Commission plans to impose penalties more frequently in the $3.7 trillion municipal securities market. “An enforcement model with no penalties was not sustainable,” Andrew ... Read More
sec

SEC fines 13 firms over sale of Puerto Rico junk bonds

04/11/2014(0)
Units of 13 major Wall Street firms, including JPMorgan and UBS, improperly sold bonds from Puerto Rico’s landmark March junk deal to retail investors who may not have understood ... Read More
Cyprus Securities and exchange commission (cysec)

CySec imposes administrative fine of €100.000

03/11/2014(0)
The Cyprus Securities and Exchange Commission (SEC) has issued an announcement to inform investors that, in its meeting held on October 20, 2014, decided to impose a total administrative ... Read More
onestopbrokers-Regulators

SEC and FINRA Warn Investors About Penny Stock Scams

31/10/2014(0)
The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) issued an alert warning investors that some penny stocks being aggressively ... Read More
sec

SEC charges investment advisory firm and top officials for custody rule violations

30/10/2014(0)
The Securities and Exchange Commission (SEC) announced charges against an investment advisory firm and three top officials for violating the “custody rule” that requires firms to follow certain procedures ... Read More
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Former head of US regulator advising top Bitcoin companies

29/10/2014(0)
A former chair of the Securities and Exchange Commission (SEC) has been appointed to the advisory board of the two major Bitcoin companies. Arthur Levitt, who served as chair ... Read More
court

SEC investigates CMS employees in insider-trading case

29/10/2014(0)
The U.S. Securities and Exchange Commission is investigating whether employees at the Centers for Medicare and Medicaid Services (CMS) leaked information to traders, the Wall Street Journal reported, citing ... Read More
SEC

SEC probing private equity performance figures

29/10/2014(0)
The U.S. Securities and Exchange Commission is examining how private equity firms report a key metric of their past performance when they market new funds to investors, as the ... Read More
Broker Cyprus TopFX