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SEC 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[...]
Read ArticleSEC Announces Cherry-Picking Charges Against Investment Manager
June 29, 2015The Securities and Exchange Commission today announced fraud charges against a Wisconsin-based investment advisory firm and its owner accused of[...]
Read ArticleSEC Charges KKR With Misallocating Broken Deal Expenses
June 29, 2015The Securities and Exchange Commission today charged Kohlberg Kravis Roberts & Co. (KKR) with misallocating more than $17 million in[...]
Read ArticleJohn Roeser Named Associate Director of the Office of Market Supervision
June 25, 2015The Securities and Exchange Commission today announced that it has named John C. Roeser as Associate Director and deputy head[...]
Read ArticleSEC Charges Microcap Promoter With Illegally Selling Penny Stock Shares
June 23, 2015The Securities and Exchange Commission today charged a microcap promoter with illegally selling more than 83 million penny stock shares[...]
Read ArticleSEC Obtains Asset Freeze Against China-Based Trader for Suspicious Activity Last Week
June 23, 2015The Securities and Exchange Commission today obtained an emergency court order to freeze the assets of a trader in China[...]
Read ArticleSEC Charges Unregistered Brokers in EB-5 Immigrant Investor Program
June 23, 2015The Securities and Exchange Commission today charged two firms that illegally brokered more than $79 million of investments by foreigners[...]
Read ArticleSEC Charges Microcap Oil Company, CEO, and Stock Promoter With Defrauding Investors
June 18, 2015The Securities and Exchange Commission today charged a Texas-based oil company and its CEO with defrauding investors about reserve estimates[...]
Read ArticleSEC Charges 36 Firms for Fraudulent Municipal Bond Offerings
June 18, 2015The Securities and Exchange Commission today announced enforcement actions against 36 municipal underwriting firms for violations in municipal bond offerings.[...]
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