U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The SEC has announced that JPMorgan's brokerage business agreed to pay $4 million to settle charges of making false statements.
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The SEC has announced that two traders in China and Hong Kong have agreed to pay over $920,000 to settle an insider trading case against them.
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The SEC has issued its two annual staff reports on credit rating agencies registered as nationally recognized statistical rating organizations.
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The SEC has voted to issue an advanced notice of proposed rulemaking (ANPR) for new requirements for transfer agents.
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The U.S. Securities and Exchange Commission announced that Morgan Stanley Investment Management has agreed to pay $8.8 million to settle charges.
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The SEC announced additional fraud charges in a market manipulation case the agency filed last week.
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The SEC has charged a known securities fraudster with conducting a new scheme since his release from prison by using fake names to solicit investors while hiding his criminal past.
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The SEC has announced that two JPMorgan wealth management subsidiaries have agreed to pay $267 million and admit wrongdoing to settle charges regarding a failure to disclose conflicts of interest to...
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The SEC has charged Martin Shkreli, former CEO of pharmaceutical company Retrophin, with committing fraud during a five-year period when he also was working as a hedge fund manager.
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The SEC barred hedge fund adviser Owen Li from the securities industry for making a series of false statements to investors and ultimately precipitating a fund's collapse.
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The SEC has issued charges against a New Jersey man and his company in regard to illicitly pocketing $13 million from an elaborate pump-and-dump scheme.
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Atlantic Asset Management stands accused of investing clients in certain bonds with a hidden financial benefit to a broker-dealer connected to the firm.
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The SEC has announced fraud charges and a court-ordered asset freeze obtained against a Florida-based penny stock company.
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The U.S. Securities and Exchange Commission has suspended five accountants and two audit firms from practicing or appearing before the it.
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The SEC announced a series of enforcement actions against lawyers across the United States charged with offering EB-5 investments while not registered to act as brokers.
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