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Broker Charged With Repeatedly Putting Customer Assets At Risk
March 19, 2018The Securities and Exchange Commission today announced that Electronic Transaction Clearing (ETC), a registered broker-dealer headquartered in Los Angeles, has agreed[...]
Read ArticleSEC Announces Its Largest-Ever Whistleblower Awards
March 19, 2018The Securities and Exchange Commission today announced its highest-ever Dodd-Frank whistleblower awards, with two whistleblowers sharing a nearly $50 million[...]
Read ArticleSEC Proposes Transaction Fee Pilot for NMS Stocks
March 14, 2018The Securities and Exchange Commission today voted to propose new Rule 610T of Regulation NMS to conduct a Transaction Fee[...]
Read ArticleSEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure
March 14, 2018The Securities and Exchange Commission today proposed amendments to public liquidity-related disclosure requirements for certain open-end investment management companies. Under[...]
Read ArticleTheranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud
March 14, 2018The Securities and Exchange Commission today charged Silicon Valley-based private company Theranos Inc., its founder and CEO Elizabeth Holmes, and[...]
Read ArticleFormer Equifax Executive Charged With Insider Trading
March 14, 2018The Securities and Exchange Commission today charged a former chief information officer of a U.S. business unit of Equifax with[...]
Read ArticleForeign 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 ArticleForeign 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[...]
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