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Securities and Exchange Commission

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Credit Suisse to Pay $4.25 Million and Admits to Providing Deficient “Blue Sheet” Trading Data

29/09/2015(0)
The Securities and Exchange Commission today charged Credit Suisse Securities (USA) LLC with submitting deficient information to the agency over a two-year period about trades done by its customers, ... Read More
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SEC Obtains $30 Million From Traders Who Profited on Hacked News Releases

15/09/2015(0)
Litigation Continues Against 32 Other Defendants in Alleged $100 Million Scheme The Securities and Exchange Commission today announced that Ukrainian-based Jaspen Capital Partners Limited and CEO Andriy Supranonok have ... Read More
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SEC Announces Asset Freeze Against Alleged EB-5 Fraudster in Seattle Area

26/08/2015(0)
The Securities and Exchange Commission today announced an asset freeze obtained against a man in Bellevue, Wash., accused of defrauding Chinese investors seeking U.S. residency through the EB-5 Immigrant ... Read More
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SEC Charges Former Investment Bank Analyst and Two Others With Insider Trading in Advance of Client Deals

26/08/2015(0)
The Securities and Exchange Commission today charged a former investment bank analyst with illegally tipping his close friend with confidential information about clients involved in impending mergers and acquisitions ... Read More
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Edward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings

14/08/2015(0)
The Securities and Exchange Commission today announced that St. Louis-based brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that ... Read More
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SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information

13/08/2015(0)
The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities have agreed to pay $20.3 million to settle charges that they operated a secret ... Read More
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SEC Charges Former Stockbroker With Conducting Ponzi Scheme

02/07/2015(0)
The Securities and Exchange Commission today charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor money to purchase a condominium in Florida and afford ... Read More
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SEC Charges KKR With Misallocating Broken Deal Expenses

30/06/2015(0)
The Securities and Exchange Commission today charged Kohlberg Kravis Roberts & Co. (KKR) with misallocating more than $17 million in so-called “broken deal” expenses to its flagship private equity ... Read More
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SEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week

24/06/2015(0)
The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of a trader in China who profited by more than $1 million after trading ... Read More
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SEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program

24/06/2015(0)
The Securities and Exchange Commission today charged two firms that illegally brokered more than $79 million of investments by foreigners seeking U.S. residency.  The charges are the first against ... Read More
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