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Securities and Exchange Commission

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SEC charges Former Bank Executive and Friend With Insider Trading

19/08/2014(0)
The Securities and Exchange Commission (SEC) has charged a former bank executive in Massachusetts and his friend with insider trading in advance of the bank’s acquisition of another financial ... Read More
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SEC charges stock company of oil and gas production

18/08/2014(0)
The Securities and Exchange Commission (SEC) has announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump scheme that misled investors to believe the company ... Read More
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SEC Charges Kansas for Understating Municipal Bond Exposure

12/08/2014(0)
The Securities and Exchange Commission (SEC) announced securities fraud charges against the state of Kansas stemming from a nationwide review of bond offering documents to determine whether municipalities were ... Read More
SEC- Headquarters

SEC pursues brokerage firm and CEO

11/08/2014(0)
The Securities and Exchange Commission (SEC) has charged a Bahamas-based brokerage firm and its president for enabling a fraud that was halted when the SEC charged the hedge fund ... Read More
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Former CEO of ConvergEx Subsidiary faces SEC’s charges

08/08/2014(0)
The Securities and Exchange Commission (SEC) has appointed charges to the former chief executive officer of a broker-dealer subsidiary of ConvergEx Group LLC for deceiving brokerage customers with hidden ... Read More
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Wylys Call SEC $750 Million Trial Demand a Miscalculation

07/08/2014(0)
The lawyer for Samuel Wyly and the estate of Charles Wyly told a judge they shouldn’t have to pay regulators as much as $750 million after being found liable ... Read More
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Judge Rakoff Says 2011 S.E.C. Deal With Citigroup Can Close

06/08/2014(0)
The settlement that just wouldn’t settle — Citigroup’s 2011 deal with the Securities and Exchange Commission — has finally cleared its last hurdle. Judge Jed S. Rakoff of Federal ... Read More
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SEC Obtains Nearly $70 Million Judgment Against Richmond, Va.

04/08/2014(0)
The Securities and Exchange Commission has announced that it has obtained a final judgment in federal court in Tennessee requiring a Richmond, Va.-based financial services holding company, a subsidiary ... Read More
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SEC Seeks $1.41 Billion from Wyly Brothers For Fraud

04/08/2014(0)
The Securities and Exchange Commission is seeking damages totaling $1.41 billion from Texas tycoon Sam Wyly and the estate of his late brother Charles for their role in a ... Read More
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SEC Enforcement Division Modifies Municipalities Disclosure Initiative

01/08/2014(0)
The Securities and Exchange Commission has announced modifications to its Enforcement Division’s Municipalities Continuing Disclosure Cooperation (MCDC) Initiative that will provide greater opportunity for smaller municipal securities underwriter firms ... Read More
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