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SEC Names Deputy Directors in the Division of Trading and Markets
December 17, 2014The Securities and Exchange Commission today announced that Gary Barnett and Gary Goldsholle have been named as deputy directors in[...]
Read ArticleSEC Charges Avon With FCPA Violations
December 17, 2014The Securities and Exchange Commission today charged global beauty products company Avon Products Inc. with violating the Foreign Corrupt Practices[...]
Read ArticleSEC Imposes Sanctions Against Hong Kong-Based Firm and Two Accountants for Audit Failures
December 17, 2014The Securities and Exchange Commission today imposed sanctions against a Hong Kong-based audit firm and two accountants for failing to[...]
Read ArticleSEC Announces Charges in Alleged Gold Mining Investment Scheme
December 16, 2014The Securities and Exchange Commission today announced charges against two individuals and their companies behind an alleged gold mining investment[...]
Read ArticleSEC Announces Charges Against Owner of Equity Research Firm Accused of Manipulative Trading
December 16, 2014The Securities and Exchange Commission today announced charges against a Phoenix-based equity research firm owner who allegedly manipulated the market[...]
Read ArticleSEC Charges New Orleans-Based Energy Company and Executives With Fraudulent Stock Manipulation
December 15, 2014The Securities and Exchange Commission today charged a New Orleans-based oil-and-gas company and five executives with running a stock trading[...]
Read ArticleSEC Charges Massachusetts-Based Scientific Instruments Manufacturer with FCPA Violations
December 15, 2014The Securities and Exchange Commission today charged a Billerica, Mass.-based global manufacturer of scientific instruments with violating the Foreign Corrupt[...]
Read ArticleSEC Charges Manhattan-Based Attorney With Conducting Ponzi Scheme
December 12, 2014The Securities and Exchange Commission today charged a Manhattan-based attorney with conducting a Ponzi scheme that defrauded some of his[...]
Read ArticleSEC Files Securities Fraud Charges Against Owner of Home Restoration Business in Upstate New York
December 12, 2014The Securities and Exchange Commission today announced securities fraud charges against the owner of a home restoration business in upstate[...]
Read ArticleSEC Announces Agenda for Meeting of the Advisory Committee on Small and Emerging Companies
December 11, 2014The Securities and Exchange Commission today announced the agenda for the December 17 meeting of its Advisory Committee on Small[...]
Read ArticleSEC Names Karol Pollock to Lead Exam Program in Los Angeles Office
December 10, 2014The Securities and Exchange Commission today announced that Karol L.K. Pollock has been named the new leader of the examination[...]
Read ArticleSEC Announces Fraud Charges Against Buffalo-Based Firm and Co-Owners Accused of Misleading Investors in Hedge Fund
December 10, 2014The Securities and Exchange Commission today announced fraud charges against a Buffalo, N.Y.-based investment advisory firm and two co-owners accused[...]
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