Advertise With Us
Sign up for our Newsletter
Join Our Directory
Open an Account

Securities and Exchange Commission (SEC)

SEC- Headquarters

SEC warns for fraudsters who may attempt to manipulate share prices by using social media

06/11/2015(0)
The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) is issuing this Investor Alert to warn investors about fraudsters who may attempt to manipulate ... Read More
SEC_logo

SEC Bars Brokers Who Played Favorites to Double Their Commissions

02/11/2015(0)
The Securities and Exchange Commission today barred two brokers at a now-defunct Connecticut brokerage for giving customer order information to certain favored customers, helping those customers get better prices ... Read More
sec-logo

UBS to Pay $19.5 Million Settlement Involving Notes Linked to Forex trading strategy

14/10/2015(0)
Case Is Agency’s First Against an Issuer of Retail Structured Notes The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle ... Read More
SEC_logo

SEC charged Trading Company With failing to maintain Policies to prevent misuse of Material Nonpublic Information

13/10/2015(0)
The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and enforce policies and procedures to prevent the misuse of ... Read More
SEC_logo

SEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions

10/09/2015(0)
The Securities and Exchange Commission today charged national audit firm BDO USA with dismissing red flags and issuing false and misleading unqualified audit opinions about the financial statements of ... Read More
sec-logo

SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases

12/08/2015(0)
Hackers, Traders Allegedly Reaped More Than $100 Million of Illegal Profits The Securities and Exchange Commission today announced fraud charges against 32 defendants for taking part in a scheme ... Read More
sec-logo

SEC charged Two men and Eight companies with defrauding investors

31/07/2015(0)
The Securities and Exchange Commission today charged two men and eight companies with defrauding investors, many of them upstate New York residents, who purchased the companies’ securities and so-called ... Read More
First-Data

First Data Files Registration Statement for Proposed Initial Public Offering

22/07/2015(0)
First Data Corporation announced that it has filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission (SEC) relating to a proposed initial public offering of its common stock. The number ... Read More
sec-logo

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
onestopbrokers-Regulators

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
Broker Cyprus TopFX