Showing posts with label SECURITIES AND EXCHANGE COMMISSION. Show all posts
Showing posts with label SECURITIES AND EXCHANGE COMMISSION. Show all posts
Sunday, December 29, 2013

CFTC CHAIRMAN GENSLER SPEECH AT FAREWELL EVENT

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FROM:  U.S. COMMODITIES FUTURE TRADING COMMISSION  Remarks of Chairman Gary Gensler at Farewell Event December 19, 2013 John F. Kennedy ...
Saturday, January 5, 2013

STOCK PRICE MANIPULATION: A STORY OF EXECUTIVE INNOVATION

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Photo:  NYSE.  Credit:  Wikimedia Commons.   FROM: SECURITIES AND EXCHANGE COMMISSION SEC OBTAINS JUDGEMENTS AGAINST FORMER SPONGETE...
Wednesday, December 5, 2012

FORMER CEO OF OIL-AND-GAS COMPANY CHARGED BY SEC WITH PARTICIPATION IN AN INSIDER TRADING SCHEME

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FROM: SECURITIES AND EXCHANGE COMMISSION SEC Charges Oil Company CEO as Source in Insider Trading Case In November 28, 2012, the Secur...
Saturday, November 17, 2012

SEC CHARGES LIFE INSURANCE COMPANY WITH SECURITIES LAW VIOLATIONS

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FROM: SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Nov. 15, 2012 — The Securities and Exchange Commission today charged Massac...
Sunday, November 11, 2012

SEC CHARGES HEDGE FUND MAMAGER IN BATON ROUGE, LA., WITH DEFRAUDING INVESTORS

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 Credit:  Wikimedia Commons FROM: SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Nov. 8, 2012 — The Securities and Exchange C...
Tuesday, October 2, 2012

FORMER INDYMAC CEO AGREES TO SETTLE IN SEC LITIGATION

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FROM: SECURITIES AND EXCHANGE COMMISSION The U.S. Securities and Exchange Commission today announced that on September 28, 2012, the United...
Sunday, September 16, 2012

BROKER CHARGED WITH STEALING INVESTOR FUNDS

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FROM: SECURITIES AND EXCHANGE COMMISSION Charges Connecticut-Based Broker for Stealing Investor Funds The Securities and Exchange Comm...
Sunday, September 9, 2012

SEC CHARGES ASSET MANAGER WITH LYING TO INVESTORS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Asset Manager Lied to Investors, Hid Major Losses While Boasting Remarkabl...
Saturday, August 18, 2012

SEC CHARGES OWNER OF WEBSITE ZEEKREWARDS.COM WITH RUNNING A $600 MILLION PONZI SCHEME

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THE SECURITIES AND EXCHANGE COMMISSION 　 Washington, D.C., Aug. 17, 2012 – The Securities and Exchange Commission today announced f...
Monday, August 6, 2012

BRISTOL-MYERS SQUIBB EXEC. CHARGED BY SEC WITH INSIDER TRADING OF STOCK OPTIONS

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FROM: SECURITIES AND EXCHANGE COMMISSION On August 2, 2012, the Securities and Exchange Commission charged an executive at Bristol-Myers Sq...
Sunday, July 8, 2012

SEC ALLEGES A SCHEME INVOLVING BRIBING STOCK BROKERS TO INCREASE STOCK PRICE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Thursday, July 5, 2012 CEO of Axius Inc. and Finance Professional Indicted for Alleged Ro...
Saturday, July 7, 2012

DOJ OFFICIAL ON PROTECTING INVESTORS FROM FRAUD

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FROM:  U.S. DEPARTMENT OF JUSTICE Protecting Investors from Fraud The following post appears courtesy of Barbara L. McQuade, the U.S. Att...
Monday, July 2, 2012

FINANCIAL ADVISER DISAPPEARS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., July 2, 2012 – The Securities and Exchange Commission today obtained a ...
Thursday, June 28, 2012

COMPANY SETTLES CHARGES OF ALLEGED BRIBERY

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FROM:  SECURITIES AND EXCHANGE COMMISSION Washington, D.C., June 27, 2012 –The Securities and Exchange Commission today charged that Fal...
Sunday, May 13, 2012

SEC CHARGES FORMER OIL COMPANY EXECUTIVE WITH INSIDER TRADING

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Photo:  NYSE.  Credit:  Wikimedia FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION May 11, 2012 The Securities and Exchange Commission t...
Thursday, May 10, 2012

SHANGHAI-BASED ACCOUNTING FIRM REFUSED TO TURN OVER AUDIT WORK PAPERS TO SEC

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Photo:  Wikimedia FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., May 9, 2012 — The Securities and Exchange Commission...

MARKET TIMERS TIME HAS RUN OUT

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FROM:  SECURITIES AND EXCHANGE COMMISSION  May 8, 2012 Court Enters Final Judgments Against Defendants in Market Timing Case The Commiss...
Tuesday, May 8, 2012

MONTANA PARALEGAL AND FATHER CHARGED IN INSIDER TRADING SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Montana-Based Paralegal and Her Father in Insider Trading Scheme Washington, D...
Monday, May 7, 2012

TWO INVESTOR SEMINAR SALESPEOPLE ARE CHARGED FOR SECURITIES LAW VIOLATIONS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  May 1, 2012 SEC Charges Two Former Investor Seminar Salespeople with Securities Law Violations...
Saturday, May 5, 2012

SEC CHARGES UBS PUERTO RICO AND TWO EXECUTIVES WITH DEFRAUDING FUND CUSTOMERS

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FROM:  SECURITIES AND EXCHANGE COMMISSION SEC Charges UBS Puerto Rico and Two Executives with Defrauding Fund Customers Washington, D.C.,...