U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The SEC issued charges against a New York-based proprietary trading firm and one of its co-founders for engaging in a manipulative trading strategy known as spoofing.
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The SEC announced that three private equity fund advisers within Blackstone Group have agreed to pay nearly $39 million to settle charges.
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The U.S. Securities and Exchange Commission announced that it has charged two former top executives at OCZ Technology Group for accounting failures.
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Arthur F. Jacob and Innovative Business Solutions are under the SEC's microscope for allegedly deceiving clients over a period of at least five years.
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The U.S. Securities and Exchange Commission has taken enforcement actions against 22 municipal underwriting firms for violations in municipal bond offerings.
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The SEC has announced that it has filed fraud charges and obtained asset freezes against the operator of a worldwide pyramid scheme.
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According to the SEC’s complaint filed in federal court in Manhattan, William J. Wells falsely told some investors that he was a registered investment adviser and would invest their money in...
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ThinkstockGet ready for big changes to how new research reports will be issued from Wall Street firms. While this will not impact any of the hot IPOs of the past, it turns out that investors are soon...
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ThinkstockThe largest companies in the United States are almost all concentrated in major metropolitan areas. Nearly one in 10 Fortune 500 companies are headquartered in New York City. The five...
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ThinkstockThe Securities and Exchange Commission (SEC) is charging 32 people involved in the hacking of newswire services to gain confidential information to trade on. Over $100 million in illegal...
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Investors now might be asking themselves if Hertz Global Holdings stock found its bottom and if it is finally safe.
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Hertz Global has announced that it filed its annual report for 2014 that restated results for 2012 and 2013.
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When most investors hear news that a firm is paying $30 million to the SEC to settle certain charges, chances are high that it sounds like a high-dollar event.
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Tesla Motors has hinted for some time that it is not financially self-funding. That could not have been clearer as it lined up as much as $750 million in funding.
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Lumber Liquidators reported disappointing first-quarter financial results before the markets opened Wednesday.
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