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SEC Announces Largest Monetary Sanction for Rule 105 Short Selling Violations
March 05, 2014The Securities and Exchange Commission today announced the largest-ever monetary sanction for Rule 105 short selling violations as a Long[...]
Read ArticleFee Rate Advisory #4 for Fiscal Year 2014
February 28, 2014Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to[...]
Read ArticleSEC Announces Charges Against Arizona-Based Private Equity Fund Manager in Expense Misallocation Scheme
February 25, 2014The Securities and Exchange Commission today announced charges against an Arizona-based private equity fund manager and his investment advisory firm[...]
Read ArticleSEC Charges Wall Street Investment Banker With Insider Trading in Former Girlfriend’s Account to Pay Child Support
February 21, 2014The Securities and Exchange Commission today announced an emergency action against a New York City-based investment banker charged with insider[...]
Read ArticleCredit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients
February 21, 2014The Securities and Exchange Commission today announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws[...]
Read ArticleDivision of Trading And Markets Acting Director John Ramsay to Leave SEC
February 20, 2014The Securities and Exchange Commission today announced that John Ramsay, acting director of the Division of Trading and Markets, will[...]
Read ArticleStephen Luparello Named as Director of SEC’s Division of Trading and Markets
February 20, 2014The Securities and Exchange Commission today announced that it has named Stephen Luparello as director of its Division of Trading[...]
Read ArticleSEC Charges Three California Residents Behind Movie Investment Scam
February 20, 2014The Securities and Exchange Commission today charged three California residents with defrauding investors in a purported multi-million dollar movie project[...]
Read ArticleSEC Announces Initiative Directed at Never-Before Examined Registered Investment Advisers
February 20, 2014The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative[...]
Read ArticleSEC Names Sharon Binger as Director of Philadelphia Regional Office
February 20, 2014The Securities and Exchange Commission today named Sharon B. Binger as director of the Philadelphia Regional Office, where she will[...]
Read ArticleElizabeth Murphy Named as Associate Director in the Division of Corporation Finance
February 14, 2014The Securities and Exchange Commission today announced that Elizabeth Murphy has been named an associate director in its Division of[...]
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