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SEC Names Katherine Martin as Associate Director in the Office of International Affairs
November 30, 2015The Securities and Exchange Commission today announced that Katherine K. Martin has been named Associate Director in its Office of[...]
Read ArticleStandard Bank to Pay $4.2 Million to Settle SEC Charges
November 30, 2015The Securities and Exchange Commission today charged Standard Bank Plc with failing to disclose certain payments in connection with debt[...]
Read ArticleFormer Goldman Employee Charged With Insider Trading Before Mergers
November 25, 2015The Securities and Exchange Commission today announced insider trading charges against a former Goldman Sachs employee accused of stealing nonpublic[...]
Read ArticleSEC Charges Political Intelligence Firm
November 24, 2015The Securities and Exchange Commission today announced that a political intelligence firm agreed to admit wrongdoing and pay a $375,000[...]
Read ArticleSEC: Stockbroker Stole Investor Money for Home Renovations
November 23, 2015The Securities and Exchange Commission today announced fraud charges against a former stockbroker accused of stealing investor money to remodel[...]
Read ArticleAtlanta Businessman Charged in Nursing Home Investment Scheme
November 20, 2015The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against an Atlanta-based businessman accused[...]
Read ArticleAssets Frozen in Alleged Immigration Scam
November 19, 2015The Securities and Exchange Commission today announced it has obtained a court order freezing the assets of a South Florida[...]
Read ArticleCustody Rule Violators Settle Charges
November 19, 2015The Securities and Exchange Commission today announced that an investment advisory firm, two owners, and a former chief compliance officer[...]
Read ArticleSEC Proposes Rules to Enhance Transparency and Oversight of Alternative Trading Systems
November 18, 2015The Securities and Exchange Commission today announced it has voted to propose rules to enhance operational transparency and regulatory oversight[...]
Read ArticleSEC Announces Agenda and Panelists for Small Business Forum
November 17, 2015The Securities and Exchange Commission today announced the agenda and panelists for this Thursday’s Government-Business Forum on Small Business Capital[...]
Read ArticleSEC Charges Pump-and-Dump in Marley Coffee Stock
November 17, 2015The Securities and Exchange Commission today announced fraud charges against several alleged perpetrators behind a $78 million pump-and-dump scheme involving[...]
Read ArticleMutual Fund Adviser Advertised False Performance Claims
November 16, 2015The Securities and Exchange Commission today announced that a Hartford, Conn.-based investment management firm agreed to pay $16.5 million to[...]
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