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Wenchi Hu, Associate Director in the Division of Trading and Markets, to Leave SEC
January 30, 2017The Securities and Exchange Commission today announced that Wenchi Hu, an Associate Director in the Division of Trading and Markets,[...]
Read ArticleOCIE Director Marc Wyatt to Leave SEC
January 30, 2017The Securities and Exchange Commission today announced that Marc Wyatt, Director of the Office of Compliance Inspections and Examinations, will[...]
Read ArticleSEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme
January 27, 2017The Securities and Exchange Commission today announced fraud charges against two New York City men accused of running a Ponzi[...]
Read ArticleChief 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[...]
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