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SEC Announces Award for Whistleblower Who Reported Fraud to SEC After Company Failed to Address Issue Internally
July 31, 2014The Securities and Exchange Commission today announced an award of more than $400,000 for a whistleblower who reported a fraud[...]
Read ArticleArchitect of Variable Annuities Scheme Agrees to Pay $850,000, Admit Wrongdoing, and Be Barred From Securities Industry
July 31, 2014The Securities and Exchange Commission today announced that the architect of a variable annuities scheme designed to profit from the[...]
Read ArticleSEC Charges Company CEO and Former CFO With Hiding Internal Controls Deficiencies and Violating Sarbanes-Oxley Requirements
July 30, 2014The Securities and Exchange Commission today announced charges against the CEO and former CFO of a Florida-based computer equipment company[...]
Read ArticleSEC Names Alberto Arevalo as Associate Director in the Office of International Affairs
July 30, 2014The Securities and Exchange Commission today announced that Alberto Arevalo has been named an associate director in the Office of[...]
Read ArticleSEC Announces Charges in “Solar Farm” Penny Stock Scheme
July 29, 2014The Securities and Exchange Commission today announced fraud charges against a penny stock company and its CEO linked to a[...]
Read ArticleHarbinger’s Former Chief Operating Officer Agrees to Settle Charges for Assisting Hedge Fund Scheme
July 28, 2014The Securities and Exchange Commission today announced that the former chief operating officer at Harbinger Capital Partners LLC has agreed[...]
Read ArticleSEC Charges Smith & Wesson With FCPA Violations
July 28, 2014The Securities and Exchange Commission today charged Smith & Wesson Holding Corporation with violating the Foreign Corrupt Practices Act (FCPA)[...]
Read ArticleCitigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading System
July 25, 2014The Securities and Exchange Commission today charged a Citigroup business unit operating an alternative trading system (ATS) with failing to[...]
Read ArticleSEC Charges Florida-Based Transfer Agent and Owner with Defrauding Investors
July 24, 2014The Securities and Exchange Commission today announced it has charged a Florida-based transfer agent and its owner with defrauding investors[...]
Read ArticleSEC Announces Additional Charges in Football-Related Boiler Room Scheme
July 24, 2014The Securities and Exchange Commission today announced a second round of charges against individuals behind a boiler room scheme that[...]
Read ArticleMorgan Stanley to Pay $275 Million for Misleading Investors in Subprime RMBS Offerings
July 24, 2014The Securities and Exchange Commission today charged three Morgan Stanley entities with misleading investors in a pair of residential mortgage-backed[...]
Read ArticleSEC Adopts Money Market Fund Reform Rules
July 23, 2014The Securities and Exchange Commission today adopted amendments to the rules that govern money market mutual funds. The amendments make[...]
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