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SEC Names Kenneth A. Johnson as Chief Operating Officer
December 14, 2017The Securities and Exchange Commission today announced that Kenneth A. Johnson has been named the agency's Chief Operating Officer (COO). Mr.[...]
Read ArticleDivision of Trading and Markets Deputy Director Gary Barnett to Retire
December 13, 2017The Securities and Exchange Commission today announced that Gary Barnett, Deputy Director in the Division of Trading and Markets, will[...]
Read ArticleSEC Appoints New Chairman and Board Members to PCAOB
December 12, 2017The Securities and Exchange Commission today announced the appointment of William D. Duhnke III as Chairman and J. Robert Brown,[...]
Read ArticleSEC Charges Biopharmaceutical Company With Failing to Properly Disclose Perks for Executives
December 12, 2017The Securities and Exchange Commission today charged a biopharmaceutical company with committing a series of accounting controls and disclosure violations,[...]
Read ArticleStock Trader Charged in Insider Trading Ring
December 11, 2017The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider[...]
Read ArticleCompany Halts ICO After SEC Raises Registration Concerns
December 11, 2017A California-based company selling digital tokens to investors to raise capital for its blockchain-based food review service halted its initial[...]
Read ArticleSEC 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[...]
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