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U.S. Securities and Exchange Commission

sec

SEC targets 10 firms in high frequency trading probe – SEC document

18/07/2014(0)
The U.S. Securities and Exchange Commission (SEC) has been seeking information on 10 registered broker dealers as part of an ongoing investigation into high-frequency trading strategies, according to an ... Read More
regions financial

Regions Financial to pay $51 mln for alleged accounting misdeed

26/06/2014(0)
Regions Financial Corp, a large U.S. southeast regional bank, agreed to pay $51 million to settle federal and state allegations it failed to account properly for souring commercial loans ... Read More

SEC Charges Hedge Fund Advisory Firm

24/06/2014(0)
The U.S. Securities and Exchange Commission has charged a West Palm Beach, Fla.-based hedge fund advisory firm and its founder with fraudulently shifting money from one investment to another ... Read More
Balboa

Ex-Millennium Fund Manager Gets Four Years in Prison

24/06/2014(0)
Former Millennium Global Investments portfolio manager Michael Balboa was sentenced to four years in prison for defrauding investors by inflating the value of Nigerian sovereign debt by $80 million. ... Read More
regulatory_compliance

BNP Paribas, U.K. Fraud Raids, Taiwan Rules: Compliance

17/06/2014(0)
BNP Paribas SA (BNP) has given investors scant information about how much it expects to pay to settle a criminal probe of U.S. sanctions violations. The bank told shareholders ... Read More
osc ontario

Predatory Trading Rules Considered in Canada

13/06/2014(0)
The Ontario Securities Commission may consider measures to regulate high-frequency trading if evidence of predatory activity is found as it reviews its market-structure policies, Chairman Howard Wetston said. “The ... Read More
law fees

SEC Says Investor Accused of Fake Gold Bid Fled to China

12/06/2014(0)
The U.S. Securities and Exchange Commission said the man behind a fake $750 million bid for Allied Nevada Gold Corp. (ANV) profited from selling an undisclosed stake in the ... Read More
jo-white

High-Speed Trading Rules Coming From SEC

06/06/2014(0)
U.S. Securities and Exchange Commission Chair Mary Jo White unveiled the regulator’s most sweeping plan yet for reining in high-frequency trading and monitoring dark pools and other secretive trading ... Read More
Brent Crude Oil

SEC Charges Bitcoin Entrepreneur With Offering Unregistered Securities

04/06/2014(0)
The U.S. Securities and Exchange Commission has charged the co-owner of two Bitcoin-related websites for publicly offering shares in the two ventures without registering them. An SEC investigation found ... Read More
bonds - investing

SEC Charges Operator With Defrauding Bond Investors

03/06/2014(0)
The U.S. Securities and Exchange Commission (SEC) has charged a charter school operator in Chicago with defrauding investors in a $37.5 million bond offering for school construction by making ... Read More
Broker Cyprus TopFX