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SEC Charges Software Company in Silicon Valley and Two Former Executives Behind Fraudulent Accounting Scheme
September 24, 2014The Securities and Exchange Commission today charged a Silicon Valley-based software company and two former executives behind an accounting fraud[...]
Read ArticleSEC Charges Two Florida-Based Attorneys for Roles in Offering Fraud by Transfer Agent
September 23, 2014The Securities and Exchange Commission today charged two Florida-based attorneys for their roles in an offering fraud conducted by a[...]
Read ArticleSEC Charges Purported Health Food Company and CEO with Issuing False Press Releases in Microcap Fraud
September 23, 2014The Securities and Exchange Commission today charged a Florida-based penny stock company and its CEO with defrauding investors by issuing[...]
Read ArticleSEC Charges Barclays Capital with Systemic Compliance Failures After Acquiring Lehman’s Advisory Business
September 23, 2014The Securities and Exchange Commission today charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to[...]
Read ArticleSEC Names Liban Jama as Director of Atlanta Regional Office
September 23, 2014The Securities and Exchange Commission today announced the appointment of Liban Jama as director of the Atlanta Regional Office, where[...]
Read ArticleRhea Dignam Named as Senior Counsel To OCIE Director
September 23, 2014The Securities and Exchange Commission today announced that Rhea Kemble Dignam has been named as senior counsel to the director[...]
Read ArticleSEC Announces Arrival of New Administrative Law Judge
September 22, 2014The Securities and Exchange Commission today announced that Jason S. Patil begins work at the agency this week as an[...]
Read ArticleWells Fargo Advisors Admits Failing to Maintain Controls and Producing Altered Document, Agrees to Pay $5 Million Penalty
September 22, 2014The Securities and Exchange Commission today charged Wells Fargo Advisors LLC with failing to maintain adequate controls to prevent one[...]
Read ArticleSEC Announces Largest-Ever Whistleblower Award
September 22, 2014The Securities and Exchange Commission today announced an expected award of more than $30 million to a whistleblower who provided[...]
Read ArticleSEC Charges New York-Based Private Equity Fund Adviser With Misallocation Of Portfolio Company Expenses
September 22, 2014The Securities and Exchange Commission today charged a New York-based investment advisory firm with breaching its fiduciary duty to a[...]
Read ArticleSEC Charges Brooklyn Man for Facilitating Insider Trading Scheme Via Post-It Notes at Grand Central Terminal
September 19, 2014The Securities and Exchange Commission today charged a Brooklyn man with facilitating a $5.6 million insider trading scheme that typically[...]
Read ArticleJim Burns, Deputy Director of Trading and Markets, to Leave SEC
September 18, 2014The Securities and Exchange Commission today announced that James R. Burns, Deputy Director in the Division of Trading and Markets,[...]
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