SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official

The Securities and Exchange Commission today announced that Danae M. Serrano has been named Acting Ethics Counsel and Designated Agency Ethics Official.

Ms. Serrano joined the SEC in 2010 as an Assistant Ethics Counsel, and has served as the Deputy Et…

SEC Charges The Hain Celestial Group with Internal Controls Failures

The Securities and Exchange Commission today announced settled charges against a natural and organic food company stemming from weaknesses in the company’s internal controls related to end-of-quarter sales practices that were designed to help the compa…

SEC Charges Agria Corporation and Executive Chairman With Fraud

A multinational agricultural company has agreed to pay $3 million to settle charges that it concealed substantial losses from investors through fraudulent accounting in connection with its divestiture of its primary operating entity.  In a re…

Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data

The Securities and Exchange Commission today announced that three broker-dealers have agreed to pay more than $6 million to settle charges for providing the SEC with incomplete and inaccurate securities trading information in required SEC productions k…

SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum

The Securities and Exchange Commission today announced the agenda and panelists for the 2018 Government-Business Forum on Small Business Capital Formation.

The December 12 event will begin at 9 a.m. ET with opening remarks from the SEC Chairman and Co…

SEC Halts Alleged Insider Trading Ring Spanning Three Countries

The Securities and Exchange Commission has filed insider trading charges against an IT contractor and two others he illegally tipped with confidential client information he stole while working in the Singapore branch of an investment bank.

The SEC obt…

SEC Investor Advisory Committee to Meet on December 13

The Securities and Exchange Commission will hold a meeting of its Investor Advisory Committee on Dec. 13, 2018. The meeting will begin at 9 a.m. ET in the Multipurpose Room at SEC Headquarters at 100 F Street NE, Washington, D.C. and is …

Shira Pavis Minton, Ethics Counsel, to Retire from the SEC After 20 Years of Federal Service

The Securities and Exchange Commission today announced that Shira Pavis Minton, Ethics Counsel and Designated Agency Ethics Official, will be retiring from the agency this month after more than 20 years of federal service and nearly 10 years with the S…

Aaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service

The Securities and Exchange Commission today announced that Aaron Lipson, Associate Regional Director for enforcement matters in the Atlanta Regional Office, is leaving the agency this month after 14 years of service.

Mr. Lipson joined the SEC in 2004…

SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds

The Securities and Exchange Commission today adopted rules and amendments designed to promote research on mutual funds, exchange‑traded funds, registered closed-end funds, business development companies, and similar covered investment funds. …

Two Celebrities Charged With Unlawfully Touting Coin Offerings

The Securities and Exchange Commission today announced settled charges against professional boxer Floyd Mayweather Jr. and music producer Khaled Khaled, known as DJ Khaled, for failing to disclose payments they received for promoting investments i…

Jina L. Choi, Regional Director of the SEC’s San Francisco Office, to Leave the Agency After Over 16 Years of Service

The Securities and Exchange Commission today announced that Jina L. Choi, Director of the agency’s San Francisco Regional office, will leave the agency at the end of this month after more than 16 years of service. Under Ms. Choi’s leadership since 2013…