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SEC Charges Former Deloitte Chief Risk Officer for Violations of Auditor Independence Rules
May 20, 2014The Securities and Exchange Commission today charged the former chief risk officer at Deloitte LLP for causing violations of the[...]
Read ArticleSEC Announces Charges Against Four Former Officials at Clearing Firm Penson Financial Services for Regulation SHO Violations
May 19, 2014The Securities and Exchange Commission today announced charges against four former officials at clearing firm Penson Financial Services for their[...]
Read ArticleSEC Charges Two Clinical Drug Trial Doctors With Insider Trading
May 19, 2014The Securities and Exchange Commission today charged two California-based doctors with illegally trading on inside knowledge that the Food and[...]
Read ArticleSEC Warns Investors About Marijuana-Related Investments Amid Recent Trading Suspensions
May 16, 2014The Securities and Exchange Commission today cautioned investors about the potential for fraud in microcap companies that claim their operations[...]
Read ArticleSEC Charges Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments
May 15, 2014The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments[...]
Read ArticleSEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm
May 15, 2014The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that[...]
Read ArticleChief Accountant Paul Beswick to Leave SEC
May 15, 2014The Securities and Exchange Commission today announced that Chief Accountant Paul A. Beswick is leaving the agency to return to[...]
Read ArticleSEC Names Gina Talamona as Communications Director
May 14, 2014The Securities and Exchange Commission today announced that Gina Talamona has been named communications director. Ms. Talamona, who will report[...]
Read ArticleSEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition
May 12, 2014The Securities and Exchange Commission today charged three former sales managers at San Diego-based Qualcomm Inc. with insider trading ahead[...]
Read ArticleThree Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead of Sale
May 12, 2014The Securities and Exchange Commission today filed insider trading charges against three software company founders for taking unfair advantage of[...]
Read ArticleSEC Announces Charges and Asset Freeze Against Hedge Fund Advisory Firm Distributing Falsified Performance Results
May 07, 2014The Securities and Exchange Commission today announced fraud charges and an asset freeze against a New York-based investment advisory firm[...]
Read ArticleSEC Charges Toronto-Based Consultant and Four Others in Reverse Merger Schemes Involving China-Based Companies
May 05, 2014The Securities and Exchange Commission today charged a Toronto-based consultant and four associates with conducting illegal reverse merger schemes to[...]
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