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Securities and Exchange Commission

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 Sanctions Florida-Based Auditor for Circumventing Rules

27/10/2014(0)
The Securities and Exchange Commission sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners to periodically rotate off their audit engagements with a publicly ... Read More
SEC

SEC: Rengan Rajaratnam Settles Insider Trading Charges

24/10/2014(0)
The Securities and Exchange Commission (SEC) has announced that former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more than $840,000 and accept securities industry bars in ... Read More
onestopbrokers-Regulators

Six Federal Agencies Jointly Approve Final Risk Retention Rule

23/10/2014(0)
Six federal agencies, namely the Board of Governors of the Federal Reserve System, the Department of Housing and Urban Development, the Federal Deposit Insurance Corporation, the Federal Housing Finance Agency, the Office of ... Read More
sec

SEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading

17/10/2014(0)
The Securities and Exchange Commission sanctioned a New York City-based high frequency trading firm for placing a large number of aggressive, rapid-fire trades in the final two seconds of ... Read More
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SEC Announces Insider Trading Charges Against Former Financial Analyst at Pharmaceutical Company

15/10/2014(0)
The Securities and Exchange Commission announced insider trading charges against a Massachusetts man who allegedly tipped his friend with nonpublic information about potential acquisition targets of the pharmaceutical company ... Read More
brokerage

U.S. Charges Belize Agents Linked to Cynk’s Stock Surge

10/09/2014(0)
Two men working out of the same Belize building as the penny-stock company Cynk Technology Corp. (CYNK), which surged to a market value of more than $6 billion for ... Read More
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SEC gives $300,000 Whistleblower Award to Internal Auditor

01/09/2014(0)
For the first time, the Securities and Exchange Commission is rewarding a corporate whistleblower whose actual job it is to blow the whistle on a company’s internal missteps. The ... Read More
onestopbrokers-Regulators

SEC Charges Investor Relations Firm Executive

27/08/2014(0)
The Securities and Exchange Commission (SEC) has charged a director of market intelligence at a Manhattan-based investor relations firm with insider trading ahead of impending news announcements by more ... Read More
citi-group1

Citigroup facing restrictions on sales of hedge fund investments

22/08/2014(0)
Citigroup Inc has been sending hedge fund firms letters informing them that it cannot sell investments in hedge funds and private-equity funds to clients after a deal with the ... Read More
Broker Cyprus TopFX