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SEC Charges HSBC’s Swiss Private Banking Unit With Providing Unregistered Services to U.S. Clients
November 25, 2014The Securities and Exchange Commission today charged HSBC’s Swiss-based private banking arm with violating federal securities laws by failing to[...]
Read ArticleSEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price
November 21, 2014The Securities and Exchange Commission today charged father-and-son executives at a New Jersey-based penny stock company for issuing false and[...]
Read ArticleSEC Charges CEO and Close Friend With Insider Trading Ahead of Company Sale
November 21, 2014The Securities and Exchange Commission today announced insider trading charges against a then-CEO and a close friend he provided with[...]
Read ArticleWedbush Securities and Two Officials Agree to Settle SEC Case
November 20, 2014The Securities and Exchange Commission today announced that Los Angeles-based broker-dealer Wedbush Securities agreed to settle a pending SEC case[...]
Read ArticleSEC Suspends Trading in Companies Touting Operations Related to Prevention or Treatment of Ebola
November 20, 2014The Securities and Exchange Commission today suspended trading in four companies that claim to be developing products or services in[...]
Read ArticleSEC Announces Next Meeting of the Advisory Committee on Small and Emerging Companies
November 19, 2014The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold its next[...]
Read ArticleSEC Adopts Rules to Improve Systems Compliance and Integrity
November 19, 2014The Securities and Exchange Commission today voted to adopt new rules designed to strengthen the technology infrastructure of the U.S.[...]
Read ArticleSEC Charges Unregistered Broker in Tampa Area With Stealing From Investors in Fraudulent Day Trading Scheme
November 18, 2014The Securities and Exchange Commission today charged an unregistered broker living outside Tampa, Fla., with stealing investor funds as part[...]
Read ArticleSEC Staff Releases Accounting Bulletin to Update Guidance on Pushdown Accounting
November 18, 2014The Securities and Exchange Commission’s Office of the Chief Accountant and Division of Corporation Finance today released a Staff Accounting[...]
Read ArticleSEC Sanctions Two Former Defense Contractor Employees for FCPA Violations
November 17, 2014The Securities and Exchange Commission today sanctioned two former employees in the Dubai office of a U.S.-based defense contractor for[...]
Read ArticleSEC Charges Three Penny Stock Promoters Behind Pump-and-Dump Schemes
November 17, 2014The Securities and Exchange Commission today charged three penny stock promoters with conducting pump-and-dump schemes involving stocks they were touting[...]
Read ArticleSEC Charges San Francisco-Based Penny Stock Company CEO for Defrauding Investors in Pump-and-Dump Scheme
November 17, 2014The Securities and Exchange Commission today charged a San Francisco-based penny stock company CEO with defrauding investors by issuing false[...]
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