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Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
June 23, 2016The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to[...]
Read ArticleSEC Sues UK-Based Trader for Account Intrusion Scheme
June 22, 2016The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a[...]
Read ArticleSEC Charges Medical Device Manufacturer With FCPA Violations
June 21, 2016The Securities and Exchange Commission today announced that Massachusetts-based medical device manufacturer Analogic Corp. and its wholly-owned Danish subsidiary have[...]
Read ArticleFormer CEO of Chicago Charter School Operator Settles Muni-Bond Fraud Charges
June 21, 2016The Securities and Exchange Commission today announced a settlement with Juan Rangel, the former President of UNO Charter School Network[...]
Read ArticleSEC Halts Scheme Defrauding Pro Athletes
June 21, 2016The Securities and Exchange Commission today announced that it has obtained a court order freezing the assets of an investment[...]
Read ArticleSEC Approves IEX Proposal to Launch National Exchange, Issues Interpretation on Automated Securities Prices
June 17, 2016The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange. At[...]
Read ArticleSoftware Executive and Three Friends Charged With Insider Trading
June 16, 2016The Securities and Exchange Commission today announced insider trading charges against a former software company executive and three close friends[...]
Read ArticleSEC Proposes Rules to Modernize Property Disclosures for Mining Registrants
June 16, 2016The Securities and Exchange Commission today announced that it has proposed rules to modernize the disclosure requirements for mining properties[...]
Read ArticlePrivate Fund Administrator Charged With Gatekeeper Failures
June 16, 2016The Securities and Exchange Commission today announced that a firm providing administrative services to private funds has agreed to pay[...]
Read ArticleHedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme
June 15, 2016Lumiere allegedly used fake prices to value assets while investors were led to believe the fund was using real prices[...]
Read ArticleSEC: Muni Advisors Acted Deceptively With California School Districts
June 13, 2016The Securities and Exchange Commission today announced that two California-based municipal advisory firms and their executives have agreed to settle[...]
Read ArticleSEC to Permit Voluntary Filing Using Inline XBRL
June 13, 2016The Securities and Exchange Commission today announced that it will allow companies to voluntarily file structured financial statement data in[...]
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