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SEC Announces Municipal Advisor Exam Initiative
August 19, 2014The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an examination[...]
Read ArticleSEC Charges Former Bank Executive and Friend With Insider Trading Ahead of Acquisition
August 18, 2014The Securities and Exchange Commission today charged a former bank executive in Massachusetts and his friend with insider trading in[...]
Read ArticleSEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking
August 15, 2014The Securities and Exchange Commission today announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump[...]
Read ArticleSEC Charges N.Y.-Based Brokerage Firm With Overcharging Customers in $18 Million Scheme
August 14, 2014The Securities and Exchange Commission today charged New York-based brokerage firm Linkbrokers Derivatives LLC for unlawfully taking secret profits of[...]
Read ArticleSEC Charges Atlanta-Based Accountant With Insider Trading on Confidential Information From Client
August 14, 2014The Securities and Exchange Commission today announced charges against an accounting firm partner in Atlanta for insider trading in the[...]
Read ArticleRobert Keyes, Senior Officer in New York Regional Office, to Retire After Nearly 22 Years of Federal Service
August 12, 2014The Securities and Exchange Commission today announced that Robert J. Keyes, a senior officer in the New York Regional Office,[...]
Read ArticleSEC Charges Kansas for Understating Municipal Bond Exposure to Unfunded Pension Liability
August 11, 2014The Securities and Exchange Commission today announced securities fraud charges against the state of Kansas stemming from a nationwide review[...]
Read ArticleSEC Charges Bahamas-Based Brokerage Firm and President With Facilitating Fraudulent Scheme by Hedge Fund Manager
August 08, 2014The Securities and Exchange Commission today charged a Bahamas-based brokerage firm and its president for enabling a fraud that was[...]
Read ArticleSEC Announces Charges Against N.Y.-Based Brokerage Firm and Founder Despite Attempts to Mislead Examiners
August 08, 2014The Securities and Exchange Commission today announced charges against a New York-based brokerage firm and its founder for allegedly violating[...]
Read ArticleSEC Names Thomas M. Piccone to Lead National Exam Program in Denver Office
August 08, 2014The Securities and Exchange Commission today announced that it has named Thomas M. Piccone to lead the National Exam Program[...]
Read ArticleSEC Charges Former CEO of ConvergEx Subsidiary in Scheme to Deceive Customers About Trading Fees
August 07, 2014The Securities and Exchange Commission today charged the former chief executive officer of a broker-dealer subsidiary of ConvergEx Group LLC[...]
Read ArticleSEC Charges Four Promoters with Manipulating Marijuana-Related Stocks and Other Microcap Companies
August 05, 2014The Securities and Exchange Commission today charged four promoters with ties to the Pacific Northwest for manipulating the securities of[...]
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