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SEC Completes Muni-Underwriter Enforcement Sweep
February 02, 2016The Securities and Exchange Commission today announced enforcement actions against 14 municipal underwriting firms for violations in municipal bond offerings. [...]
Read ArticleSEC Charges Software Company With FCPA Violations
February 01, 2016The Securities and Exchange Commission today announced that software manufacturer SAP SE has agreed to give up $3.7 million in[...]
Read ArticleBarclays, Credit Suisse Charged With Dark Pool Violations
January 31, 2016The Securities and Exchange Commission today announced that Barclays Capital Inc. and Credit Suisse Securities (USA) LLC have agreed to[...]
Read ArticleSEC Announces Agenda for February 2 Meeting of the Equity Market Structure Advisory Committee
January 29, 2016The Securities and Exchange Commission will hold the third meeting of the Equity Market Structure Advisory Committee on February 2,[...]
Read ArticleHedge Fund Manager Agrees to Reimburse Investor Losses
January 28, 2016The Securities and Exchange Commission today announced that a Manhattan-based investment advisory firm and its Toronto-based hedge fund manager have[...]
Read ArticleOcwen Paying Penalty for Misstated Financial Results
January 20, 2016The Securities and Exchange Commission today announced that Ocwen Financial Corp. has agreed to settle charges that it misstated financial[...]
Read ArticleSusan Nash, Associate Director in Division of Investment Management, to Leave SEC After 26 Years of Service
January 20, 2016The Securities and Exchange Commission today announced that Susan Nash, Associate Director in the Division of Investment Management, will leave[...]
Read ArticleSEC: Alternative Fund Manager Overcharged Fees, Misled Investors
January 19, 2016The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the[...]
Read ArticleSEC Awards Whistleblower More Than $700,000 for Detailed Analysis
January 15, 2016The Securities and Exchange Commission today announced a whistleblower award of more than $700,000 to a company outsider who conducted[...]
Read ArticleSEC Charges Goldman Sachs With Improper Securities Lending Practices
January 14, 2016The Securities and Exchange Commission today announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle[...]
Read ArticleSEC Charges State Street for Pay-to-Play Scheme
January 14, 2016The Securities and Exchange Commission today announced that State Street Bank and Trust Company agreed to pay $12 million to[...]
Read ArticleSEC Charges 11 Bank Officers and Directors With Fraud
January 13, 2016The Securities and Exchange Commission today announced fraud charges against 11 former executives and board members at Superior Bank and[...]
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