U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The SEC has charged a former broker with knowingly or recklessly trading unsuitable investment products in the accounts of five customers and misappropriating over $170,000 from one of those...
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The SEC has sought an emergency court order to freeze assets tied to two brokerage accounts used last week to reap over $1 million.
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The SEC has announced that an Arizona-based brokerage firm, its CEO and its former underwriter's counsel have agreed to settle charges related to municipal bond offerings they were underwriting that...
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The SEC has announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused of exploiting church members, retirees and laid-off auto workers
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The SEC has announced an emergency asset freeze and temporary restraining order against a Chicago-based investment adviser accused of scamming elderly investors out of millions of dollars.
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The SEC has announced charges against a Florida-based company, its CEO and its top sales agent in regards to conducting a boiler room scheme.
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Exxon Mobil has notified shareholders of a mini-tender offer for up to 2 million shares of the company's stock at a discount to the stock's price. The SEC has warned investors in the past of the...
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The SEC has announced that an auditor based out of Silicon Valley has agreed to settle insider trading charges.
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California-based marijuana vending machine company Medbox saw its supposed revenues go up in smoke after the firm faced an investigation from the SEC.
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The SEC has announced that a Mexico-based homebuilder has agreed to settle charges that it reported fake sales for over 100,000 homes to boost revenues in its financial statements during a three-year...
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The SEC has announced that it obtained an emergency court order freezing brokerage accounts that held over $29 million in illegal profits reaped from insider trading in advance of the acquisition of...
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The SEC has announced fraud charges against two New York City men accused of running a Ponzi scheme with money raised from investors to fund businesses purportedly created to purchase and resell...
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Without admitting or denying the findings, the 10 firms consented to the SEC findings. The firms are censured and must pay monetary penalties.
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The SEC has announced that Kentucky-based General Cable has agreed to pay over $75 million to resolve parallel SEC and U.S. Department of Justice investigations regarding its violations of the...
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The SEC has announced that a Florida-based businessman has agreed to settle charges that he misused investor funds that were intended to create U.S. jobs through the EB-5 Immigrant Investor Program.
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