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

Securities and Exchange Commission

bitcoin-smile

Illegal Bitcoin IPO Actually Worked Out Pretty Well for Investors

04/06/2014(0)
Today the Securities and Exchange Commission shut down a bitcoin investing scam that, as bitcoin investing scams go, is disappointingly un-scammy. A very bitcoiny guy named Erik Voorhees1 started ... Read More
Bank of Japan building

SEC Obtains Asset Freeze to Halt Fraud at Illinois-Based Transfer Agent

29/05/2014(0)
The Securities and Exchange Commission announced fraud charges and an emergency asset freeze against an Illinois-based transfer agent and its owner whose misappropriation scheme was exposed during an SEC ... Read More
tokyo

SEC Charges Private Fund Manager

22/05/2014(0)
The Securities and Exchange Commission has charged a Sarasota, Fla.-based private fund manager with defrauding investors in a Ponzi scheme that ensued after he squandered their money on bad ... Read More
regulatory_compliance

Three Signs the Best Days of Private Equity Are Over

12/05/2014(0)
Lest the buyout industry feel left out of the regulatory crackdown that has recently been visited upon hedge funds and major banks, the Securities and Exchange Commission indicated it’s ... Read More
New-York

SEC Fines NYSE for rule violations

02/05/2014(0)
The New York Stock Exchange’s $4.5 million penalty for oversight violations represents the Securities and Exchange Commission’s first salvo since Michael Lewis reignited scrutiny of market structure. NYSE, which ... Read More
ebay_marketplaces

SEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay

28/04/2014(0)
The U.S. Securities and Exchange Commission (SEC), has charged a former executive with insider trading in advance of eBay’s acquisition of the e-commerce company where he worked by tipping ... Read More
Retirees fish from a public dock on the Sacramento River in the Sacramento San Joaquin River Delta in Rio Vista, California

SEC Charges San Diego-Based Investment Adviser

16/04/2014(0)
The U.S. Securities and Exchange Commission has announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors ... Read More
SEC-charges-pair-of-brokers

SEC charges brokerage firm

15/04/2014(0)
The US Securities and Exchange Commission has announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond ... Read More
Broker Cyprus TopFX