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Securities and Exchange Commission

lawyers - Law

Lawyers Charged With Assisting a Microcap Fraud Scheme

12/10/2017(0)
The Securities and Exchange Commission today charged two lawyers it alleges helped facilitate a microcap fraud scheme involving undisclosed “blank check” companies secretly bound for reverse mergers. In complaints ... Read More
insider trading 2

Stock Market Analyst charged with insider trading

27/09/2017(0)
The Securities and Exchange Commission charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that ... Read More
data protection

SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors

26/09/2017(0)
The Securities and Exchange Commission (SEC) announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and protect retail investors. The creation ... Read More
SEC-Insider-Trading

CEO Charged With Using Secret Accounts for Insider Trading in Company Stock

21/09/2017(0)
The Securities and Exchange Commission today charged the former CEO of a Silicon Valley-based fiber optics company with insider trading in company stock by using secret brokerage accounts held ... Read More
Securities Exchange Commission

U.S. Regulator is monitoring the impact of Hurricane Irma on investors and capital markets

14/09/2017(0)
The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and continues to monitor the impacts of Hurricane Harvey. “As ... Read More
fraud - red stamp

Investment adviser charged with defrauding professional athlete and his wife

23/08/2017(0)
The Securities and Exchange Commission today charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete and the athlete’s wife, by deceiving them about the ... Read More
insider trading 2

Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading

22/08/2017(0)
The Securities and Exchange Commission announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million to settle charges that it failed ... Read More
kpmg

KPMG agreed to pay Millions for audit failures

17/08/2017(0)
The Securities and Exchange Commission (SEC) announced that KPMG has agreed to pay more than $6.2 million to settle charges that it failed to properly audit the financial statements ... Read More
fraud - red stamp

Stock manipulator has agreed to pay nearly $800,000

03/08/2017(0)
The Securities and Exchange Commission today announced that an overseas stock manipulator has agreed to pay nearly $800,000 and be permanently barred from involvement in penny stocks after hiding ... Read More
forex scam

Cold calling scams defrauded more than one hundred victims

13/07/2017(0)
SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors The Securities and Exchange Commission today brought fraud charges against 13 individuals allegedly involved in two Long Island-based ... Read More
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