WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label BROKER-DEALERS. Show all posts
Showing posts with label BROKER-DEALERS. Show all posts
Saturday, March 28, 2015

SEC PROPOSED RULE SEEKS TO ENHANCE OVERSIGHT OF PROPRIETARY FIRMS LIKE HIGH FREQUENCY TRADERS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION SEC Proposes Rule to Require Broker-Dealers Active in Off-Exchange Market to Become Members ...
Wednesday, October 23, 2013

SEC ANNOUNCES JURY VERDICT AGAINST ALL DEFENDANTS IN OFFERING FRAUD CASE

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Obtains Jury Verdict in Its Favor Against All Defendants On All Counts The Securities...
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