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Chief Operating Officer Jeffery Heslop to Leave SEC
January 27, 2017The Securities and Exchange Commission today announced SEC Chief Operating Officer Jeffery Heslop will leave the agency in February. Mr.[...]
Read ArticleCitigroup Paying $18 Million for Overbilling Clients
January 26, 2017The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges[...]
Read ArticleCitigroup Paying $18 Million for Overbilling Clients
January 26, 2017The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges[...]
Read ArticleSEC Charges Two Former Och-Ziff Executives With FCPA Violations
January 26, 2017The Securities and Exchange Commission today charged two former executives at Och-Ziff Capital Management Group with being the driving forces[...]
Read ArticleSEC Charges Two Former Och-Ziff Executives With FCPA Violations
January 26, 2017The Securities and Exchange Commission today charged two former executives at Och-Ziff Capital Management Group with being the driving forces[...]
Read ArticleBrokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme
January 25, 2017The Securities and Exchange Commission today announced administrative proceedings against New York-based brokerage firm Windsor Street Capital and its former[...]
Read ArticleSEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It
January 25, 2017The Securities and Exchange Commission today announced that a Massachusetts-based investment adviser agreed to be banned from the securities industry[...]
Read ArticleTimothy L. Warren, Associate Director of Enforcement in Chicago Office, to Retire After 30 Years of Service
January 24, 2017The Securities and Exchange Commission today announced that Timothy L. Warren, Associate Director of Enforcement in the Chicago Regional Office,[...]
Read ArticleMorgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program
January 24, 2017The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney and Citigroup Global Markets have agreed to pay[...]
Read ArticleShipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities
January 23, 2017The Securities and Exchange Commission today charged shipping conglomerate Overseas Shipholding Group (OSG) and its former chief financial officer Myles[...]
Read ArticleSEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme
January 23, 2017The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against a businessman in South[...]
Read ArticleSEC Announces $7 Million Whistleblower Award
January 23, 2017The Securities and Exchange Commission today announced an award of more than $7 million split among three whistleblowers who helped[...]
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