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Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
March 13, 2018The Securities and Exchange Commission today charged foreign affiliates of KPMG, Deloitte & Touche, and BDO for their involvement in[...]
Read ArticleSEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks
March 09, 2018The Securities and Exchange Commission has charged a penny stock promoter based in Florida with defrauding investors in a pair[...]
Read ArticleSEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors
March 09, 2018The Securities and Exchange Commission today barred the president of a penny stock company from ever again serving as a[...]
Read ArticleInvestment Adviser Settles Charges for Cheating Clients in Fraudulent Cherry-Picking Scheme
March 08, 2018The Securities and Exchange Commission today announced settled charges against an Austin, Texas-based investment adviser for defrauding his clients through[...]
Read ArticleVoya Advisers Agree to Repay Clients and Settle Charges That They Failed to Disclose Securities Lending Conflict
March 08, 2018The Securities and Exchange Commission today charged two investment adviser subsidiaries of Voya Holdings Inc. with failing to disclose conflicts[...]
Read ArticleSEC Obtains Partial Asset Freeze of Proceeds in Alleged Fraudulent Touting Scheme
March 08, 2018The Securities and Exchange Commission has filed fraud charges in a scheme to inflate the share price of an Israeli[...]
Read ArticleSEC Charges Company and Executives in Oil-and-Gas Offering Fraud
March 08, 2018The Securities and Exchange Commission has charged a Dallas-based oil-and-gas company and two of its executives with defrauding investors out[...]
Read ArticleMerrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of Securities
March 08, 2018The Securities and Exchange Commission today announced settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. for its failure[...]
Read ArticleNYSE to Pay $14 Million Penalty for Multiple Violations
March 06, 2018The Securities and Exchange Commission today announced that it charged the New York Stock Exchange and two affiliated exchanges with[...]
Read ArticleSEC Charges Unregistered Broker for Illegally Brokering Sales of EB-5 Securities
March 05, 2018The Securities and Exchange Commission today charged a New York-based company with illegally brokering dozens of investments by foreign nationals[...]
Read ArticleSEC Celebrates African American History Month
March 02, 2018The Securities and Exchange Commission this week concluded its month of celebrations, events, and remembrances – at its Washington, D.C.[...]
Read ArticleSEC Charges U.K. Brokerage Firm, Investment Manager, CEO, and Others for Manipulative Trading in U.S. Microcap Stocks
March 02, 2018The Securities and Exchange Commission today announced securities fraud charges against a U.K.-based broker-dealer and its investment manager in connection[...]
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