U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The U.S. Securities and Exchange Commission (SEC) recently charged two men from Rhode Island with insider trading in the securities of deal targets being pursued by the pharmaceutical company where...
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The SEC has charged a New York City-based trader with defrauding investors by misrepresenting her investment track record, the profitability of her investments and her use of investor funds.
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The SEC has announced fraud charges and an asset freeze against a husband and wife accused of misusing money they raised from investors for the purpose of building and operating a new cancer...
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The U.S. Securities and Exchange Commission (SEC) charged a North Carolina-based investment adviser with defrauding investors.
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The SEC has charged a Wall Street-based brokerage firm with failing to sufficiently evaluate or monitor customers’ trading for suspicious activity as required under the federal securities laws.
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The U.S. Securities and Exchange Commission (SEC) has recently charged two California men and their investment firm with operating a Ponzi scheme. They claimed to specialize in serving middle-class...
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The SEC has charged a Nashville-based investment advisory firm and its owner with scheming to collect extra monthly fees from a pair of hedge funds they managed.
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The SEC has announced that a California-based mortgage company and six of its senior executives have agreed to pay more than $12 million to settle charges.
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The SEC has announced insider trading charges against an investment banker and his close friend, a plumber.
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The SEC has obtained a court order to freeze the profits of a trader who allegedly manipulated a technology stock through a false regulatory filing traced to a computer in Pakistan.
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In its annual report filing on Tuesday, Alibaba revealed that it is the subject of a U.S. Securities and Exchange Commission (SEC) investigation into possible violations of federal securities laws.
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The SEC has announced it will jointly award more than $450,000 to two individuals for a tip that led the agency to open a corporate accounting investigation.
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The SEC has announced that the mayor of Harvey, Ill., has agreed to pay $10,000 and never participate in a municipal bond offering again in order to settle fraud charges.
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The SEC has announced insider trading charges against a professional sports gambler who allegedly made $40 million based on illegal stock tips from a corporate insider who owed him money.
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The U.S. Securities and Exchange Commission (SEC) recently announced that it will award around $5 million to $6 million to a former company insider whose detailed tip led the agency to uncover...
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