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Former Head of Coastal Investment Advisors Settles Charges, Admits He Stole Money From Investors
October 19, 2015The Securities and Exchange Commission today announced that Michael Donnelly, the former president of Wilmington, Del.-based Coastal Investment Advisors Inc.[...]
Read ArticleTwo UBS Advisory Firms Settle Charges Arising From Failure to Disclose Change in Investment Strategy
October 19, 2015The Securities and Exchange Commission today announced that two UBS advisory firms have agreed to settle charges arising from their[...]
Read ArticleSEC Staff Publishes Private Funds Statistics Report
October 16, 2015The Securities and Exchange Commission staff today published a report that provides private fund industry statistics and trends, reflecting aggregated[...]
Read ArticleSEC Charges 6 Firms for Short Selling Violations in Advance Stock Offerings
October 14, 2015The Securities and Exchange Commission today announced enforcement actions against six firms, including more than $2.5 million in monetary sanctions[...]
Read ArticleUBS to Pay $19.5 Million Settlement Involving Notes Linked to Currency Index
October 13, 2015The Securities and Exchange Commission today announced that UBS AG has agreed to pay $19.5 million to settle charges that[...]
Read ArticleWolverine Affiliates Charged With Failing to Maintain Policies to Prevent Misuse of Material Nonpublic Information
October 08, 2015The Securities and Exchange Commission today charged Wolverine Trading LLC and Wolverine Asset Management LLC with failing to maintain and[...]
Read ArticleSEC Charges Firm and Owner With Manipulative Trading
October 08, 2015The Securities and Exchange Commission today charged a New York-based proprietary trading firm and one of its co-founders with engaging[...]
Read ArticleBlackstone Charged With Disclosure Failures
October 07, 2015The Securities and Exchange Commission today announced that three private equity fund advisers within The Blackstone Group have agreed to[...]
Read ArticleSEC Charges Former Executives With Accounting Fraud and Other Accounting Failures
October 06, 2015The Securities and Exchange Commission today charged two former top executives at OCZ Technology Group Inc. for accounting failures at[...]
Read ArticleMichael Liftik Named SEC Deputy Chief of Staff
October 05, 2015The Securities and Exchange Commission today announced that Michael Liftik will become a deputy chief of staff of the agency.[...]
Read ArticleSEC Deputy Chief of Staff Erica Williams to Leave Agency
October 05, 2015The Securities and Exchange Commission today announced that Erica Williams will be leaving the SEC after serving as deputy chief[...]
Read ArticleSEC Charges Florida Investment Adviser and His Company With Defrauding Investors
October 05, 2015The Securities and Exchange Commission today announced fraud charges against Florida-based investment adviser Arthur F. Jacob and his company, Innovative[...]
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