U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The SEC has announced fraud charges against an investment adviser accused of "cherry-picking" profitable trades for his own account rather than a client's accounts.
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The SEC has announced that Och-Ziff Capital Management has agreed to pay nearly $200 million to settle civil charges of violating the Foreign Corrupt Practices Act.
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International Game Technology has agreed to pay a half-million dollar penalty for firing an employee because he reported to the SEC that the company's financial statements might be distorted.
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When most investors hear about insider trading charges being filed by the Securities and Exchange Commission, they probably think of someone profiting from leaked merger news. They probably are not...
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The SEC just announced that UBS Financial Services has agreed to pay over $15 million to settle charges regarding a failure to adequately educate and train its sales force.
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The SEC has announced that Anheuser-Busch InBev has agreed to pay $6 million to settle charges that it violated the Foreign Corrupt Practices Act and chilled a whistleblower who reported the...
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The SEC has charged a former microcap company CEO and a boiler-room operator with defrauding seniors and others.
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The SEC has announced insider trading charges against hedge fund manager Leon G. Cooperman and his firm Omega Advisors.
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The U.S. Securities and Exchange Commission (SEC) on Wednesday said that 33 whistleblowers have received payments exceeding $100 million since the program’s inception. The SEC also reported that it...
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The U.S. Commodity Futures Trading Commission has issued an Order of Registration to Seed SEF LLC, a Chicago-based entity that is now a Swap Execution Facility.
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Details are scarce, but Automotive News reported Monday afternoon that FBI and SEC investigators have visited employees of Fiat Chrysler in their offices and homes during the month of July.
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The SEC has announced that Citigroup Global Markets has agreed to pay a $7 million penalty and admit wrongdoing to settle charges.
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The U.S. Securities and Exchange Commission (SEC) recently charged four companies and eight individuals in an $80 million oil and gas fraud orchestrated by a Dallas man who calls himself the “Frack...
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The SEC has announced that Merrill Lynch agreed to pay a $10 million penalty to settle charges that it was responsible for misleading statements.
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The SEC has announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to settle charges that it misused customer cash to generate profits and failed to safeguard customer...
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