U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The U.S. Securities and Exchange Commission (SEC) reported fraud charges against three Chicago-based traders accused of circumventing market structure rules in a pair of options trading schemes. The...
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The U.S. Securities and Exchange Commission announced that Grant Thornton, a national audit firm, and two of its partners agreed to settle charges.
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The SEC charged two Bitcoin mining companies and their founder with conducting a Ponzi scheme that used the lure of quick riches from virtual currency to defraud investors.
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The U.S. Securities and Exchange Commission (SEC) charged Standard Bank PLC with a failure to disclose certain payments in connection with debt issued by the Government of Tanzania in 2013. This...
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The U.S. Securities and Exchange Commission (SEC) announced insider trading charges against a former Goldman Sachs employee who stands accused of stealing nonpublic information in the firm’s e-mail...
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Marwood Group Research, a political intelligence firm, admitted to wrongdoing in releasing confidential or nonpublic information to clients.
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Former stockbroker Bernard M. Parker is charged with defrauding clients of $1.2 million.
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The SEC announces fraud charges and an emergency asset freeze against Atlanta-based businessman Christopher F. Brogdon.
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The U.S. Securities and Exchange Commission (SEC) announced that it has obtained a court order freezing the assets of a South Florida woman and her company, and accusing them of purchasing a boat and...
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Sands Brothers Asset Management and co-founders Martin Sands and Steven Sands agreed to pay a $1 million penalty and will be suspended for a year from raising money from new or existing investors.
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The SEC announced that it has voted to propose rules regarding the enhancement of operational transparency and regulatory oversight of alternative trading systems.
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The U.S. Securities and Exchange Commission (SEC) has announced fraud charges against several alleged perpetrators behind a $78 million pump-and-dump scheme.
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An SEC investigation found that Virtus Investment Advisers publicized a substantially overstated performance track record of AlphaSector, a major ETF portfolio strategy.
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The SEC has filed securities fraud charges against a Scottish trader whose false tweets incited sharp drops in the stock prices of two companies and triggered a trading halt in one of them.
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The SEC announced a whistleblower award totaling more than $325,000 to a former investment firm employee.
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