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Securities and Exchange Commission

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Two brokers charged with defrauding customers

11/09/2018(0)
The Securities and Exchange Commission (SEC) charged two brokers for recommending excessive levels of trading that were costly for retail customers but lucrative for the brokers. In separate complaints ... Read More
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Two men charged with fraud in fake trading accounts scheme

07/09/2018(0)
The Securities and Exchange Commission (SEC) charged two Michigan men with fraud for their roles in a fake accounts scheme perpetrated by a phony day-trading firm, Nonko Trading. The ... Read More
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Moody’s credit ratings agency to pay $16.25 million in penalties to settle charges

29/08/2018(0)
The U.S Regulator, Securities and Exchange Commission (SEC), announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of ... Read More
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US financial services company will pay millions to settle charges; The reason?

17/08/2018(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges. The Reason According to SEC’s ... Read More
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Beware of firms that use misleading information to solicit investors

07/08/2018(0)
The Securities and Exchange Commission (SEC) announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciting entities, ... Read More
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Deutsche Bank subsidiaries will pay nearly $75 million to settle charges

23/07/2018(0)
The Securities and Exchange Commission (SEC) announced that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle charges of improper handling of “pre-released” American Depositary ... Read More
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SEC charges investment adviser and CEO with misleading retail investors

20/07/2018(0)
The Securities and Exchange Commission (SEC) charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19 million of investor money, including elderly investors’ retirement savings ... Read More
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U.S. Regulatory Authority shuts Down $102 Million Ponzi Scheme

21/06/2018(0)
The Securities and Exchange Commission (SEC) filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the ... Read More
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Merrill Lynch will pay a $42 Million penalty to settle charges

20/06/2018(0)
The Securities and Exchange Commission charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about how it handled their orders. Merrill Lynch agreed to settle the charges, admit wrongdoing, ... Read More
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Global investment adviser to pay $8 million civil penalty

05/06/2018(0)
The Securities and Exchange Commission announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an $8 million civil penalty related to its failure to disclose ... Read More
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