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Sanket Bulsara Named Deputy General Counsel for Appellate Litigation and Adjudication
November 13, 2015The Securities and Exchange Commission today announced that it has named Sanket J. Bulsara as the Deputy General Counsel for[...]
Read ArticleMarc Wyatt Named Director of the Office of Compliance Inspections and Examinations
November 12, 2015The Securities and Exchange Commission today announced that it has named Marc Wyatt as Director of the agency’s Office of[...]
Read ArticleOlivier Girod Named SEC Deputy Director of Office of Support Operations
November 12, 2015The Securities and Exchange Commission today announced Olivier Girod has been named Deputy Director of the Office of Support Operations[...]
Read ArticleSEC Charges: False Tweets Sent Two Stocks Reeling in Market Manipulation
November 05, 2015The Securities and Exchange Commission today filed securities fraud charges against a Scottish trader whose false tweets caused sharp drops[...]
Read ArticleBryan Bennett Named to Head Exam Program in Los Angeles Office
November 05, 2015The Securities and Exchange Commission today announced that it has named Bryan Bennett to lead the examination program in its[...]
Read ArticleSEC Announces Whistleblower Award of More Than $325,000
November 04, 2015The Securities and Exchange Commission today announced a whistleblower award totaling more than $325,000 for a former investment firm employee[...]
Read ArticleSEC Identifies More Alleged Corrupt Brokers in Stock Manipulation Case
November 04, 2015The Securities and Exchange Commission today announced it has identified three additional individuals to charge in a penny stock manipulation[...]
Read ArticleSEC Charges Private Equity Firm and Four Executives With Failing to Disclose Conflicts of Interest
November 03, 2015The Securities and Exchange Commission today announced that a New York-based private equity firm and four executives have agreed to[...]
Read ArticleSEC Adopts Rules to Permit Crowdfunding
October 30, 2015The Securities and Exchange Commission today adopted final rules to permit companies to offer and sell securities through crowdfunding. The[...]
Read ArticleSEC Bars Brokers Who Played Favorites to Double Their Commissions
October 28, 2015The Securities and Exchange Commission today barred two brokers at a now-defunct Connecticut brokerage for giving customer order information to[...]
Read ArticleDeveloper, Former Top Execs Charged for Improper Accounting of Real Estate Assets During Financial Crisis
October 27, 2015The Securities and Exchange Commission today charged The St. Joe Company, a Watersound, Florida-based real estate developer and landowner, its[...]
Read ArticleSEC Charges Credit Rating Agency With Misrepresenting Surveillance Methodology
October 26, 2015The Securities and Exchange Commission today charged credit rating agency DBRS Inc. with misrepresenting its surveillance methodology for ratings of[...]
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