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Securities and Exchange Commission

fraud - red stamp

U.S. Regulator charged founder of a purported Bitcoin platform with fraud

03/07/2017(0)
The Securities and Exchange Commission filed fraud charges against the clandestine founder of a purported Bitcoin platform and a chain of co-working spaces located in former bars and restaurants, ... Read More
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Information technology company charged with accounting fraud

03/07/2017(0)
The Securities and Exchange Commission (SEC) has charged Chicago-area information technology company Quadrant 4 System Corp. (QFOR) and two former top executives in an accounting fraud scheme that misled ... Read More
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Oil and Gas Company and Top Finance Executives Charged with Accounting Fraud

29/06/2017(0)
The Securities and Exchange Commission (SEC) charged a Canadian-based oil and gas company and three of its former top finance executives for their roles in an extensive, multi-year accounting fraud. ... Read More
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Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance

21/06/2017(0)
The Securities and Exchange Commission (SEC) announced that Robert Evans III has been named Deputy Director in the agency’s Division of Corporation Finance. He will join Deputy Director Shelley ... Read More
Anti Money Laundering

Brokerage Firm Charged With Failing to Comply With Anti-Money Laundering Laws

06/06/2017(0)
The Securities and Exchange Commission (SEC) has issued an announcement to inform that the Commission charges a Salt Lake City-based brokerage firm with securities law violations related to its alleged ... Read More
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Charges announced in insider trading scheme involving confidential U.S. Government information

25/05/2017(0)
The Securities and Exchange Commission announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rates, which affected the stock ... Read More
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Morgan Stanley agreed to pay an $8 million penalty and admit wrongdoing

15/02/2017(0)
The Securities and Exchange Commission (SEC) announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single ... Read More
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SEC is freezing brokerage accounts holding more than $29 million in illegal profits

13/02/2017(0)
SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition Obtains Court Order Freezing More Than $29 Million in U.S. Accounts The Securities and Exchange ... Read More
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SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme

24/01/2017(0)
The Securities and Exchange Commission (SEC) announced fraud charges and an emergency asset freeze obtained against a businessman in South Carolina accused of siphoning funds he raised from investors for ... Read More
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Shipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities

24/01/2017(0)
The Securities and Exchange Commission today charged shipping conglomerate Overseas Shipholding Group (OSG) and its former chief financial officer Myles R. Itkin with failing to recognize hundreds of millions ... Read More
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