U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The SEC has charged a microcap company's CEO for falsely claiming to have a lucrative relationship with the United Nations and billions of dollars in clean energy contracts with foreign governments.
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The SEC has announced charges against three AIG affiliates for steering mutual fund clients toward more expensive share classes so the firms could collect more fees.
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The SEC has settled charges against Texas-based oil company Magnum Hunter Resources and several individuals for deficient evaluation of the company’s internal controls over financial reporting.
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The SEC has announced fraud charges against a California businessman accused of stealing investor assets and then trying to cover it up once the SEC caught onto his scheme.
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The SEC has charged an Oregon-based investment group and three top executives with hiding the rapidly deteriorating financial condition of its enterprise while raising millions from investors.
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The SEC has announced that a developer of technologies for touchscreen devices has agreed to pay $750,000 to settle charges that it misled investors.
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The SEC has announced that it has agreed to settle enforcement actions against a Florida man trading on inside information ahead of a pharmaceutical company merger.
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The SEC recently charged California’s largest agricultural water district, Westlands Water District, for misleading investors regarding its financial condition as it issued a $77 million bond...
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The SEC has announced that a Cyprus-based company has agreed to pay $11 million to settle charges that it illegally sold binary options to U.S. investors.
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The SEC has announced fraud charges against an unregistered fund manager accused of hiding his checkered past while providing false and misleading data to investors and an independent research firm.
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The U.S. Securities and Exchange Commission (SEC) recently announced the payment of nearly $2 million to three whistleblowers. Out of the three awards, the largest will go to a whistleblower who...
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The SEC has announced the creation of the Office of Risk and Strategy within its Office of Compliance Inspections and Examinations.
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The SEC has charged a Rhode Island agency and its bond underwriter, Wells Fargo Securities, with defrauding investors in a municipal bond offering to finance startup video game company 38 Studios.
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iShares Gold Shares has registered 300 million shares, which it issues in "baskets" of 50,000 and exchanges for physical gold.
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The SEC has announced that Qualcomm has agreed to pay $7.5 million to settle charges that it violated the Foreign Corrupt Practices Act.
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