U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The U.S. Securities and Exchange Commission (SEC) recently charged a California-based attorney with defrauding investors seeking to participate in the EB-5 immigrant investor program, stealing their...
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The SEC has charged three Chinese traders with fraudulently trading on hacked, nonpublic, market-moving information stolen from two prominent New York-based law firms.
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The SEC has announced that Teva Pharmaceutical Industries has agreed to pay over $519 million to settle charges that it violated the Foreign Corrupt Practices Act by paying bribes to foreign...
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The SEC has charged two men behind a phony day-trading firm with pocketing more than $1 million in deposits from hundreds of defrauded investors worldwide.
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The U.S. Securities and Exchange Commission (SEC) recently announced that a Brazilian-based petrochemical manufacturer whose stock trades in the U.S. markets has agreed to settle charges that it...
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The SEC has announced that Morgan Stanley has agreed to pay more than $7 million to settle charges it used trades involving customer cash to lower the firm’s borrowing costs in violation of the...
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The SEC has announced that an Oklahoma-based oil-and-gas company has agreed to settle charges that it used illegal separation agreements and retaliated against a whistleblower.
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The U.S. Securities and Exchange Commission (SEC) recently announced that a technology company has agreed to pay a penalty of $180,000 to settle charges involving its severance agreements that...
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The SEC has charged the founder of Platinum Partners and two of its flagship hedge fund advisory firms with conducting a fraudulent scheme to inflate asset values.
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The U.S. Securities and Exchange Commission (SEC) recently announced that it has settled cease-and-desist proceedings against the CEO of a Utah-based broker-dealer and two registered persons...
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The SEC has barred several market participants from the penny stock industry for their roles in various sham initial public offerings of microcap stocks that defrauded investors.
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The SEC has announced that Deutsche Bank agreed to settle charges in regards that it misled clients about the performance of a core feature of its automated order router that primarily sent client...
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The U. S. Securities and Exchange Commission (SEC) recently charged two New Jersey-based traders with manipulating more than 2,000 NYSE- and NASDAQ-traded stocks and making over $26 million in...
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The SEC has announced an award of more than $900,000 to a whistleblower whose tip allowed the SEC to bring multiple enforcement actions against wrongdoers.
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The U.S. Securities and Exchange Commission (SEC) recently announced that a San Francisco-based firm has agreed to settle charges that it violated federal securities laws by failing to register...
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