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Investment Management Director David W. Grim to Leave SEC
August 03, 2017The Securities and Exchange Commission today announced that David W. Grim, Director of the Division of Investment Management, will leave[...]
Read ArticleDonna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office
August 02, 2017The Securities and Exchange Commission today announced the promotion of Donna Esau to Associate Regional Director for Examinations in the[...]
Read ArticleOverseas Stock Manipulator Settles SEC Charges
August 02, 2017The Securities and Exchange Commission today announced that an overseas stock manipulator has agreed to pay nearly $800,000 and be[...]
Read ArticleSEC Files Charges to Stop Fraudulent Misuse of Cancer-Fighting Investments to Fund Restaurant Businesses
July 31, 2017The Securities and Exchange Commission today filed charges to stop an alleged ongoing fraud by a Massachusetts businessman misusing investments[...]
Read ArticleSEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees
July 31, 2017The Securities and Exchange Commission today charged four former Atlanta-area brokers with fraudulently inducing federal employees to roll over holdings[...]
Read ArticleSEC Announces Whistleblower Award of More Than $1.7 Million
July 27, 2017The Securities and Exchange Commission today announced a whistleblower award of more than $1.7 million to a company insider who[...]
Read ArticleHalliburton Paying $29.2 Million to Settle FCPA Violations
July 27, 2017The Securities and Exchange Commission today charged Halliburton Company with violating the books and records and internal accounting controls provisions[...]
Read ArticleJessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office
July 26, 2017The Securities and Exchange Commission today announced that Jessica B. Magee has been named the Associate Regional Director for Enforcement[...]
Read ArticleSEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities
July 25, 2017The Securities and Exchange Commission issued an investigative report today cautioning market participants that offers and sales of digital assets[...]
Read ArticleSEC Announces $2.5 Million Whistleblower Award
July 25, 2017The Securities and Exchange Commission today announced an award of nearly $2.5 million to an employee of a domestic government[...]
Read ArticleSEC Announces $2.5 Million Whistleblower Award
July 25, 2017The Securities and Exchange Commission today announced an award of nearly $2.5 million to an employee of a domestic government[...]
Read ArticleSEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs
July 24, 2017The Securities and Exchange Commission today announced that Bryan Wood has been named Director of the agency's Office of Legislative[...]
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