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SEC 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,[...]
Read ArticleSEC Charges Eight for Roles in Widespread Pump-and-Dump Scheme Involving California-Based Microcap Company
September 18, 2014The Securities and Exchange Commission today charged a ring of eight individuals for their roles in an alleged pump-and-dump scheme[...]
Read ArticleSEC Charges Tacoma, Wash.-Area Firm for Undisclosed Principal Transactions and Misleading Performance Advertisements
September 18, 2014The Securities and Exchange Commission today charged an investment advisory firm located outside Tacoma, Wash., with engaging in hundreds of[...]
Read ArticleFormer Hedge Fund Manager in Bay Area Charged With Taking Excess Management Fees to Make Lavish Purchases
September 17, 2014The Securities and Exchange Commission today announced charges against a former hedge fund manager accused of fraudulently taking excess management[...]
Read ArticleSEC Charges N.Y.-Based High Frequency Trading Firm With Violating Net Capital Rule For Broker-Dealers
September 17, 2014The Securities and Exchange Commission today charged a New York-based high frequency trading firm with violating the net capital rule[...]
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