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SEC Charges Two Men in Stock Manipulation Scheme
September 21, 2015The Securities and Exchange Commission today charged two men behind a scheme that defrauded investors in YaFarm Technologies Inc., a[...]
Read ArticleSEC Charges Investment Adviser With Improperly Using Mutual Fund Assets to Pay Distribution Fees
September 21, 2015The Securities and Exchange Commission today charged a New York-based investment adviser and its affiliated distributor with improperly using mutual[...]
Read ArticleSEC Announces Agenda for September 23 Meeting of the Advisory Committee on Small and Emerging Companies
September 18, 2015The Securities and Exchange Commission today announced that the next meeting of its Advisory Committee on Small and Emerging Companies[...]
Read ArticleAttorney and Auditors Settle Charges in Microcap Scheme Involving Purported Mining Companies
September 18, 2015The Securities and Exchange Commission today announced that an attorney, two audit firms, and seven audit professionals have agreed to[...]
Read ArticleSEC 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[...]
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