U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The U.S. Securities and Exchange Commission (SEC) recently announced a whistleblower award of over $3.5 million to a company employee whose tip bolstered an ongoing investigation with additional...
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The U.S. Securities and Exchange Commission (SEC) recently announced fraud charges against two attorneys accused of making undisclosed risky investments and in some instances outright stealing money...
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The SEC has announced fraud charges against a California stock promoter and a New Jersey lawyer who allegedly were creating sham companies and selling them.
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The SEC has charged a father and son and five associates with defrauding investors via sham Native American tribal bonds in an effort to steal millions of dollars.
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The SEC had announced fraud charges against a Pittsburgh-based financial adviser accused of taking money without permission from the accounts of several professional athletes.
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The U.S. Securities and Exchange Commission recently charged two men with pocketing investor money.
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The SEC has announced fraud charges against 10 individuals involved in schemes to trick investors into buying shares of a particular company stock.
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The U.S. Securities and Exchange Commission (SEC) announced that a Silicon Valley executive has agreed to pay more than a half-million dollars to settle charges that he traded on inside information...
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The SEC has announced that an accounting firm and one of its partners have agreed to settle charges that they performed inadequately as the adviser's president secretly stole money from accounts...
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FINRA, the Financial Industry Regulatory Authority, has issued its first cross-market report cards covering the acts of spoofing and layering orders. These are common complaints about high frequency...
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The SEC has announced a financial fraud case against Logitech International and former executives accused of various accounting failures.
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The SEC has charged a litigation marketing company based out of Los Angeles, as well as its co-founders, with defrauding retirees and other investors.
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According to The Wall Street Journal, the reasons Theranos may lose all of its value have been bolstered by an SEC criminal investigation into whether management knowingly made false statements to...
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The SEC has announced fraud charges and an asset freeze against a Vermont-based ski resort for allegedly misusing millions of dollars.
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The SEC has announced fraud charges against Ramapo, N.Y., its local development corporation, and four town officials who allegedly hid a deteriorating financial situation from municipal bond...
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