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...
The U.S. Securities and Exchange Commission announced that Grant Thornton, a national audit firm, and two of its partners agreed to settle charges.
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.
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...
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...
Marwood Group Research, a political intelligence firm, admitted to wrongdoing in releasing confidential or nonpublic information to clients.
Former stockbroker Bernard M. Parker is charged with defrauding clients of $1.2 million.
The SEC announces fraud charges and an emergency asset freeze against Atlanta-based businessman Christopher F. Brogdon.
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...
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.
The SEC announced that it has voted to propose rules regarding the enhancement of operational transparency and regulatory oversight of alternative trading systems.
The U.S. Securities and Exchange Commission (SEC) has announced fraud charges against several alleged perpetrators behind a $78 million pump-and-dump scheme.
An SEC investigation found that Virtus Investment Advisers publicized a substantially overstated performance track record of AlphaSector, a major ETF portfolio strategy.
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.
The SEC announced a whistleblower award totaling more than $325,000 to a former investment firm employee.