U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The SEC has announced that it had obtained an emergency court order to freeze the assets of a U.K. resident charged with intruding into the online brokerage accounts of U.S. investors to make...
Published:
Last Updated:
The SEC has announced that medical device manufacturer Analogic and a wholly owned Danish subsidiary have agreed to pay roughly $15 million to settle parallel civil and criminal actions.
Published:
Last Updated:
The SEC has announced a settlement with Juan Rangel, the former President of UNO Charter School Network and former CEO of United Neighborhood Organization of Chicago.
Published:
Last Updated:
The SEC has announced that it has obtained a court order to freeze the assets of an investment advisor accused of secretly siphoning millions of dollars from accounts he managed for professional...
Published:
Last Updated:
The SEC has announced insider trading charges against a former software company executive and three close friends who made over a half-million dollars based on an illegal tip about an upcoming merger.
Published:
Last Updated:
The SEC has announced that a firm providing administrative services to private funds has agreed to pay over $350,000 to settle charges regarding a failure to heed red flags and correct faulty...
Published:
Last Updated:
The SEC has announced insider trading charges against two hedge fund managers and a former government official accused of deceptively obtaining confidential information from the FDA.
Published:
Last Updated:
The U.S. Securities and Exchange Commission (SEC) recently announced that two California-based municipal advisory firms and their executives have agreed to settle charges that they used deceptive...
Published:
Last Updated:
The SEC has announced fraud charges and an asset freeze against a Connecticut man accused of misleading people into investing in his company, then taking their money for his personal use.
Published:
Last Updated:
A former consultant to two China-based private equity firms has agreed to pay over $756,000 in order to settle SEC insider trading charges.
Published:
Last Updated:
The SEC has announced a whistle-blower award of over $17 million, the second-largest issued by the agency since the inception of the whistle-blower program nearly five years ago.
Published:
Last Updated:
The SEC said that Ethiopian Electric Power has agreed to pay more than $6 million to settle charges that it violated U.S. securities laws by failing to register bonds it sold to U.S. residents of...
Published:
Last Updated:
The SEC has announced that Morgan Stanley Smith Barney has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information.
Published:
Last Updated:
The SEC has announced that it barred a former corporate vice president and suspended a former controller that were involved with false accounting at a New York-based electronics company.
Published:
Last Updated:
Akamai Technologies and Nortek will forfeit ill-gotten gains connected to bribes paid to Chinese officials by foreign subsidiaries.
Published:
Last Updated: