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SEC Modifies Approach to Form N-PORT Filing Requirements
December 08, 2017In recognition of the importance of sound data security practices and protocols for sensitive, non-public information, the Securities and Exchange[...]
Read ArticleDaniel Michael Named Chief of Enforcement Division’s Complex Financial Instruments Unit
December 07, 2017The Securities and Exchange Commission today announced that Daniel Michael has been named chief of the Enforcement Division’s Complex Financial[...]
Read ArticleDaniel Michael Named Chief of Enforcement Division’s Complex Financial Instruments Unit
December 07, 2017The Securities and Exchange Commission today announced that Daniel Michael has been named chief of the Enforcement Division’s Complex Financial[...]
Read ArticleBroker Charged With Defrauding Investors
December 07, 2017The Securities and Exchange Commission charged a registered representative in Pennsylvania with operating a long-running offering and investment advisory fraud.[...]
Read ArticleBroker Charged With Defrauding Investors
December 07, 2017The Securities and Exchange Commission charged a registered representative in Pennsylvania with operating a long-running offering and investment advisory fraud.[...]
Read ArticleSEC Continues Crackdown on Brokers Defrauding Customers
December 06, 2017The Securities and Exchange Commission today continued its crackdown on brokers who defraud customers, charging two New York-based brokers with[...]
Read ArticleFormer Company Insider Earns More Than $4.1 Million for Whistleblower Tip
December 05, 2017The Securities and Exchange Commission today announced an award of more than $4.1 million to a former company insider who[...]
Read ArticleDigital Display Advertising Firm, Executives Charged With Bilking Investors
December 04, 2017The Securities and Exchange Commission today charged a Seattle-area outdoor digital signage advertising company and two of its senior executives[...]
Read ArticleAudit Firm Charged With Fraud Relating to Auditing of Penny Stock Companies
December 04, 2017A California-based audit firm is being charged with conducting flawed audits and reviews of financial statements, which are critical sources[...]
Read ArticleSEC Emergency Action Halts ICO Scam
December 04, 2017The Securities and Exchange Commission today announced it obtained an emergency asset freeze to halt a fast-moving Initial Coin Offering[...]
Read ArticleSEC Charges Florida Penny Stock Operators With Defrauding Elderly Investors in Push to Crack Down on Repeat Offenders
November 30, 2017The Securities and Exchange Commission today charged two individuals with defrauding elderly investors in a penny stock scheme involving Florida[...]
Read ArticleDivision of Corporation Finance Chief Accountant Mark Kronforst to Leave SEC
November 30, 2017The Securities and Exchange Commission today announced that Mark Kronforst, Chief Accountant of the SEC’s Division of Corporation Finance, plans[...]
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