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SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners
May 06, 2016The Securities and Exchange Commission today announced fraud charges against a Pittsburgh, Pa.-based financial adviser accused of taking money without[...]
Read ArticleSEC Charges Unregistered Brokers with Pocketing Investor Money
May 04, 2016The Securities and Exchange Commission today charged two men with pocketing investor money they raised for limited liability companies they[...]
Read ArticleSEC Adopts Amendments to Implement JOBS Act and FAST Act Changes for Exchange Act Registration Requirements
May 03, 2016Washington D.C., May 3, 2016 – The Securities and Exchange Commission has approved amendments to revise the rules related to[...]
Read ArticleSEC and Law Enforcement Partners Crack Stock Promotion and Kickback Schemes
May 03, 2016The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in schemes to trick investors into buying[...]
Read ArticleSilicon Valley Executive Settles Insider Trading Charges
May 02, 2016The Securities and Exchange Commission today announced that a Silicon Valley executive has agreed to pay more than a half-million[...]
Read ArticleSEC: Accounting Firm, Partner Conducted Deficient Surprise Exams
April 29, 2016The Securities and Exchange Commission today announced that an accounting firm and one of its partners who conducted surprise examinations[...]
Read ArticleSEC Seeks Public Comment on Plan to Create A Consolidated Audit Trail
April 27, 2016The Securities and Exchange Commission today voted to publish for public comment a proposed national market system (NMS) plan to[...]
Read ArticleSEC Announces Agenda for April 26 Meeting of the Equity Market Structure Advisory Committee
April 21, 2016The Securities and Exchange Commission today announced the agenda for its Equity Market Structure Advisory Committee meeting on April 26. [...]
Read ArticleSEC Issues Order Modifying and Extending the Pilot Period for the National Market System Plan to Address Extraordinary Market Volatility
April 21, 2016The Securities and Exchange Commission today issued an order to extend for one year the pilot period of the National[...]
Read ArticleSEC Announces Financial Fraud Cases
April 19, 2016The Securities and Exchange Commission today announced a pair of financial fraud cases against companies and then-executives accused of various[...]
Read ArticleSEC Offers Online Tool to Help Companies Estimate Registration Fees
April 18, 2016The Securities and Exchange Commission today announced the release of an online tool to help companies calculate registration fees for[...]
Read ArticleSEC Charges Litigation Marketing Company With Bilking Retirees
April 15, 2016The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and[...]
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