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SEC Sanctions 22 Underwriting Firms for Fraudulent Municipal Bond Offerings
September 30, 2015The Securities and Exchange Commission today announced enforcement actions against 22 municipal underwriting firms for violations in municipal bond offerings. [...]
Read ArticleSEC Names William Royer to Lead Exam Program in Atlanta Office
September 29, 2015The Securities and Exchange Commission today announced that William Royer has been named the new head of the examination program[...]
Read ArticleSEC Charges Investment Adviser With Fraud
September 29, 2015The Securities and Exchange Commission today announced fraud charges against a registered investment adviser and its owner for allegedly engaging[...]
Read ArticleSEC Charges UBS Puerto Rico and Two Individuals in Actions Relating to Former Broker’s Fraud
September 29, 2015The Securities and Exchange Commission today charged UBS Financial Services Inc. of Puerto Rico and a former branch manager for[...]
Read ArticleSEC to Hold Equity Market Structure Advisory Committee Meeting on October 27
September 29, 2015The Securities and Exchange Commission today announced that its Equity Market Structure Advisory Committee will hold its second meeting on[...]
Read ArticleSEC Charges Trinity Capital Corporation and Former Bank Executives With Accounting Fraud
September 28, 2015The Securities and Exchange Commission today announced that Trinity Capital Corporation and its wholly-owned subsidiary, Los Alamos National Bank, have[...]
Read ArticleCredit Suisse to Pay $4.25 Million and Admits to Providing Deficient “Blue Sheet” Trading Data
September 28, 2015The Securities and Exchange Commission today charged Credit Suisse Securities (USA) LLC with submitting deficient information to the agency over[...]
Read ArticleSEC Charges Five With Insider Trading, Including Two Attorneys and an Accountant
September 28, 2015The Securities and Exchange Commission today charged five Florida residents – including two lawyers and an accountant – with insider[...]
Read ArticleSEC Charges Hitachi With FCPA Violations
September 28, 2015The Securities and Exchange Commission today charged Tokyo-based conglomerate Hitachi, Ltd. with violating the Foreign Corrupt Practices Act (FCPA) when[...]
Read ArticleSEC Publishes Request for Comment on Regulation S-X
September 25, 2015The Securities and Exchange Commission announced today that it is seeking public comment on the effectiveness of financial disclosure requirements[...]
Read ArticleSEC Charges Former Officers of SMF Energy With Fraud
September 25, 2015The Securities and Exchange Commission today announced financial fraud charges against four former SMF Energy Corp. officers, alleging that former[...]
Read ArticleSEC Proposes to Amend Rules Governing Administrative Proceedings
September 24, 2015The Securities and Exchange Commission today announced it has voted to propose amendments to rules governing its administrative proceedings. “The[...]
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