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Tennessee-Based Animal Feed Company Agrees to Pay $18 Million to Settle Accounting Fraud Case
September 15, 2014The Securities and Exchange Commission today announced that a Tennessee-based animal feed company has agreed to pay back $18 million[...]
Read ArticleSEC Announces Creation of New Office Within its Division of Economic and Risk Analysis
September 11, 2014The Securities and Exchange Commission today announced the creation of a new office within the Division of Economic and Risk[...]
Read ArticleSEC Charges Bank Holding Company in Delaware with Improper Accounting and Disclosure of Past Due Loans
September 11, 2014The Securities and Exchange Commission today announced accounting and disclosure fraud charges against a Delaware-based bank holding company for failing[...]
Read ArticleSEC Announces Fraud Charges Against Biotech Company and Former Executive Who Failed to Report Insider Stock Sales
September 10, 2014The Securities and Exchange Commission today charged a Massachusetts-based biotech company and its former CEO with defrauding investors by failing[...]
Read ArticleSEC Announces Charges Against Corporate Insiders for Violating Laws Requiring Prompt Reporting of Transactions and Holdings
September 10, 2014The Securities and Exchange Commission today announced charges against 28 officers, directors, or major shareholders for violating federal securities laws[...]
Read ArticleSEC Charges Offshore Business and Two Individuals Behind Scheme to Conceal Ownership of Microcap Stocks
September 09, 2014The Securities and Exchange Commission today charged two individuals managing an offshore business intended to help clients evade U.S. securities[...]
Read ArticleSEC Names Victor Valdez As Enforcement Division’s Chief Operating Officer
September 08, 2014The Securities and Exchange Commission today announced that Victor J. Valdez has been named Chief Operating Officer and Managing Executive[...]
Read ArticleSEC Charges Minneapolis-Based Hedge Fund Manager With Bilking Investors and Portfolio Pumping
September 08, 2014The Securities and Exchange Commission today charged a Minneapolis-based hedge fund manager, his investment advisory firm, and an accomplice with[...]
Read ArticleTracey L. McNeil Named as SEC’s First Ombudsman
September 05, 2014The Securities and Exchange Commission today announced that Tracey L. McNeil has been selected as the first ombudsman for the[...]
Read ArticleSEC Names Brent J. Fields to Lead Office of the Secretary
September 05, 2014The Securities and Exchange Commission today announced that Brent J. Fields has been appointed as the agency’s Secretary, who is[...]
Read ArticleSEC Charges L.A.-Based Immigration Attorneys With Defrauding Investors Seeking U.S. Residency
September 03, 2014The Securities and Exchange Commission today charged a Los Angeles-based immigration attorney, his wife, and his law firm partner with[...]
Read ArticleHouston-Based Investment Advisory Firm and Co-Owners Charged With Failing to Disclose Conflict of Interest to Clients
September 02, 2014The Securities and Exchange Commission today announced fraud charges against a Houston-based investment advisory firm accused of recommending that clients[...]
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