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Release of Joint Staff Report on October 15, 2014
July 13, 2015Staff from the U.S. Department of Treasury, the Board of Governors of the Federal Reserve System, the Federal Reserve Bank[...]
Read ArticleSEC Announces Settlement With Cooperator in Grand Central Post-It Notes Insider Trading Case
July 13, 2015The Securities and Exchange Commission today announced a settlement with a Brooklyn man who entered into a cooperation agreement to[...]
Read ArticleSEC Advisory Committee on Small and Emerging Companies to Hold Conference Call Meeting
July 08, 2015The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold a public[...]
Read ArticleSEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors
July 06, 2015The Securities and Exchange Commission today charged a Bay Area oil and gas company and its CEO with running a[...]
Read ArticleSEC Reappoints Lewis H. Ferguson to Second Term on PCAOB
July 02, 2015The Securities and Exchange Commission today announced that Public Company Accounting Oversight Board (PCAOB) member Lewis H. Ferguson has been[...]
Read ArticleSEC Halts Pyramid/Ponzi Scheme Targeting Spanish and Portuguese Communities
July 02, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze against the operators of a pyramid and[...]
Read ArticleSEC Solicits Public Comment on Audit Committee Disclosures
July 01, 2015The Securities and Exchange Commission today voted to publish a concept release seeking public comment on current audit committee disclosure[...]
Read ArticleSEC Charges Deloitte & Touche With Violating Auditor Independence Rules
July 01, 2015The Securities and Exchange Commission today charged Deloitte & Touche LLP with violating auditor independence rules when its consulting affiliate[...]
Read ArticleSEC Proposes Rules Requiring Companies to Adopt Clawback Policies on Executive Compensation
July 01, 2015The Securities and Exchange Commission today proposed rules directing national securities exchanges and associations to establish listing standards requiring companies[...]
Read ArticleSEC Charges Former Stockbroker With Conducting Ponzi Scheme
July 01, 2015The Securities and Exchange Commission today charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and stealing investor[...]
Read ArticleSEC Charges Hedge Fund Advisory Firm With Conducting Fraudulent Fund Valuation Scheme
July 01, 2015The Securities and Exchange Commission today charged a Greenwich, Conn.-based investment advisory firm and its two owners with fraudulently inflating[...]
Read ArticleSEC Charges Goldman Sachs With Violating Market Access Rule
June 30, 2015The Securities and Exchange Commission today charged Goldman, Sachs & Co. with violating the market access rule in connection with[...]
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