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Securities and Exchange Commission

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SEC Announces Enforcement Action for Illegal Offering of Security-Based Swaps

18/06/2015(0)
The Securities and Exchange Commission today announced an enforcement action against a company that illegally offered complex derivatives products to retail investors. The Dodd-Frank Act implemented two key requirements ... Read More
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SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

21/05/2015(0)
The Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm. The SEC alleges that as Arjent LLC and its UK-based affiliate Arjent ... Read More
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SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies

08/05/2015(0)
The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen ... Read More
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SEC Charges New York-Based Financial Advisor With Stealing $20 Million From Customers

17/04/2015(0)
The Securities and Exchange Commission today announced fraud charges against a New York City-based financial advisor accused of stealing at least $20 million from customers to fund his own ... Read More
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SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors

31/03/2015(0)
The Securities and Exchange Commission today announced fraud charges against an investment adviser and her New York-based firms accused of hiding the poor performance of loan assets in three ... Read More
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SEC Charges Nearly Two Dozen Unregistered Broker-Dealers

27/03/2015(0)
The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering ... Read More
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Consumer groups accuse SEC of ignoring investors

13/03/2015(0)
The Securities and Exchange Commission is not fulfilling its duty to protect retail investors, particularly in how it regulates financial advisers, a number of consumer groups asserted in a ... Read More
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SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions

20/02/2015(0)
The Securities and Exchange Commission today charged a New York City-based brokerage firm and its CEO with fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt ... Read More
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SEC Announces Charges Against Atlanta Man Accused of Insider Trading in Advance of Tender Offer

12/02/2015(0)
The Securities and Exchange Commission today announced charges against an Atlanta resident accused of insider trading in the stock of a technology company by exploiting nonpublic information he learned ... Read More
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SEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients

26/11/2014(0)
The Securities and Exchange Commission today charged HSBC’s Swiss-based private banking arm with violating federal securities laws by failing to register with the SEC before providing cross-border brokerage and ... Read More
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