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SEC CHARGES FLORIDA-BASED CPA WITH FRAUD FOR ISSUING BOGUS AUDIT OPINIONS
September 17, 2015The Securities and Exchange Commission today imposed sanctions against a Florida-based certified public accountant for performing deficient and fraudulent audits[...]
Read ArticleSEC Charges Clearing Firm Officials for Improper Margin Loans, Accounting and Disclosure Failures
September 17, 2015The Securities and Exchange Commission today announced charges against four former clearing firm officials for their roles in a series[...]
Read ArticleSEC Removes References to Credit Ratings in Money Market Fund Rule and Form
September 16, 2015The Securities and Exchange Commission adopted amendments to remove credit rating references in the principal rule that governs money market[...]
Read ArticleSEC Charges Medical Diagnostics Company Chairman and Two Others Behind Scheme to Manipulate Company Stock
September 14, 2015The Securities and Exchange Commission today charged the executive chairman of a Massachusetts-based medical diagnostics company and two others with[...]
Read ArticleSEC Obtains $30 Million From Traders Who Profited on Hacked News Releases
September 14, 2015The Securities and Exchange Commission today announced that Ukrainian-based Jaspen Capital Partners Limited and CEO Andriy Supranonok have agreed to[...]
Read ArticleSEC Charges Five Arizona Residents With Stealing Millions From Investors to Fund Travel and Entertainment Sprees
September 11, 2015The Securities and Exchange Commission today charged five Arizona residents with stealing millions of dollars from investors to make car[...]
Read ArticleSEC Announces Fraud Charges in Cross-Border Scheme to Secretly Control and Manipulate Stock of Chinese Companies After Reverse Mergers
September 10, 2015The Securities and Exchange Commission today announced fraud charges against a Wall Street CEO and his company, family members, and[...]
Read ArticleRobert Cohen and Joseph Sansone Named Market Abuse Unit Co-Chiefs
September 10, 2015The Securities and Exchange Commission today announced that Robert Cohen and Joseph Sansone have been named co-chiefs of the Division[...]
Read ArticleSEC Halts Scheme by Trio Accused of Stealing Investor Money While Promising “Indestructible Wealth”
September 09, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze obtained to halt an ongoing real estate[...]
Read ArticleSEC Announces Fraud Charges Against Financial Adviser Accused of Greatly Exaggerating Assets Under Management and Investment Returns on Paid Radio Program
September 09, 2015The Securities and Exchange Commission today announced fraud charges against a Maryland-based financial services firm and its founder/CEO accused of[...]
Read ArticleSEC Charges Father and Son and Friend With Insider Trading
September 09, 2015The Securities and Exchange Commission today charged a father, son, and friend in Northern California with insider trading in advance[...]
Read ArticleSEC Charges BDO and Five Partners in Connection With False and Misleading Audit Opinions
September 09, 2015The Securities and Exchange Commission today charged national audit firm BDO USA with dismissing red flags and issuing false and[...]
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