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Charles Cain Named Chief of Foreign Corrupt Practices Unit
November 02, 2017The Securities and Exchange Commission today announced that Charles E. Cain has been named chief of the Enforcement Division's national[...]
Read ArticleDavid Glockner, Regional Director of Chicago Office, to Leave SEC
November 01, 2017The Securities and Exchange Commission today announced that David Glockner, Director of the Chicago Regional Office, is planning to leave[...]
Read ArticlePetroleum Engineer Settles Charges of Insider Trading Ahead of Oil Discovery Announcement
November 01, 2017A petroleum engineer who worked at Texas-based energy company Apache Corporation has agreed to settle SEC charges that he conducted[...]
Read ArticleMillennium Settles Charges of Illegal Short Selling in Advance of Stock Offerings
October 31, 2017Investment advisory firm Millennium Management LLC has agreed to pay more than $630,000 to settle charges that it shorted U.S.[...]
Read ArticleDay Trader Charged in Brokerage Account Takeover Scheme
October 30, 2017The Securities and Exchange Commission today charged a day trader based in the Philadelphia area with participating in a scheme[...]
Read ArticleSEC Names Peter B. Driscoll as Director of the Office of Compliance Inspections and Examinations
October 26, 2017The Securities and Exchange Commission today announced that Peter B. Driscoll has been named Director of the agency’s Office of[...]
Read ArticleSEC Announces Measures to Facilitate Cross-Border Implementation of the European Union’s MiFID II’s Research Provisions
October 26, 2017Today, following consultation with European authorities, and in response to concerns that investors could lose access to valuable research, the[...]
Read ArticleFormer Private Equity Firm Partner Charged With Secretly Billing Clients for His Vacations and Salon Visits
October 25, 2017The Securities and Exchange Commission today charged Mohammed Ali Rashid, a former senior partner at Apollo Management L.P., with defrauding[...]
Read ArticleSEC Names Brett Redfearn as Director of the Division of Trading and Markets
October 18, 2017The Securities and Exchange Commission today announced that Brett Redfearn has been named Director of the agency's Division of Trading[...]
Read ArticleSEC Names Brett Redfearn as Director of the Division of Trading and Markets
October 18, 2017The Securities and Exchange Commission today announced that Brett Redfearn has been named Director of the agency's Division of Trading[...]
Read ArticleSEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
October 18, 2017The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal[...]
Read ArticleSEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
October 18, 2017The Securities and Exchange Commission today announced it is partnering with the Herb Kelleher Center for Entrepreneurship, Growth, and Renewal[...]
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