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SEC Names Richard R. Best as Regional Director of Salt Lake Office
June 08, 2015The Securities and Exchange Commission today named Richard R. Best as Regional Director of its Salt Lake office. He[...]
Read ArticleDaniel Gregus Named Associate Director for Broker-Dealer Exam Program in Chicago
June 05, 2015The Securities and Exchange Commission today announced that it has named Daniel R. Gregus as the Associate Director for the[...]
Read ArticleSEC Charges CSC and Former Executives With Accounting Fraud
June 05, 2015The Securities and Exchange Commission today charged Computer Sciences Corporation and former executives with manipulating financial results and concealing significant[...]
Read ArticleSEC Freezes Profits From Scheme to Manipulate Avon Stock
June 04, 2015The Securities and Exchange Commission today announced an emergency asset freeze of two U.S. brokerage accounts connected to schemes to[...]
Read ArticleSEC Staff Provides Additional Analysis Related to Proposed Pay Ratio Disclosure Rules
June 04, 2015The Securities and Exchange Commission staff today made available additional analysis related to its proposed rules for pay ratio disclosure.[...]
Read ArticleSEC Warns of Purported Financial Professionals Using False Credentials to Attract Investors
June 03, 2015The Securities and Exchange Commission today warned investors to thoroughly check the claimed credentials of people soliciting their investments to[...]
Read ArticleSEC Charges Four With Insider Trading Ahead of Secondary Offerings
June 03, 2015The Securities and Exchange Commission today announced insider trading charges against four individuals stealing confidential information from investment banks and[...]
Read ArticleSEC Charges Investment Adviser With Defrauding Retired Teachers
June 01, 2015The Securities and Exchange Commission today charged an investment adviser in Miami with siphoning money from his investment fund and[...]
Read ArticleMerrill Lynch Admits Using Inaccurate Data for Short Sale Orders, Agrees to $11 Million Settlement
June 01, 2015The Securities and Exchange Commission today charged two Merrill Lynch entities with using inaccurate data in the course of executing[...]
Read ArticleSEC Charges Two Stock Promoters With Conducting Market Manipulation Schemes
May 28, 2015The Securities and Exchange Commission today charged a pair of penny stock promoters in Canada with manipulating two microcap stocks[...]
Read ArticleSEC Names Andrew J. Donohue as Chief of Staff
May 28, 2015The Securities and Exchange Commission today announced that Andrew J. “Buddy” Donohue has been named the agency’s chief of staff. [...]
Read ArticleSEC Announces Charges Against Compliance Director Accused of Defrauding Investors and Stealing Brokerage Firm Assets
May 28, 2015The Securities and Exchange Commission today announced fraud charges against a Long Island man accused of fleecing investors and stealing[...]
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