Showing posts with label FINRA. Show all posts
Showing posts with label FINRA. Show all posts
Sunday, February 8, 2015

SEC CHARGES MAN WITH TRADING BASED ON NONPUBLIC INFORMATION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23187 / February 3, 2015 Securities and Exchange Commission v. Jo...
Monday, November 10, 2014

SEC, FINRA ISSUE ALERT TO INVESTORS REGARDING SHELL COMPANIES BEING SOLD AS PENNY STOCKS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission’s Office of Investor Education and Advocacy and th...
Saturday, February 22, 2014

SEC CHAIRMAN WHITE'S ADDRESS AT SEC SPEAKS 2014

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Chairman’s Address at SEC Speaks 2014  Chair Mary Jo White Washington, D.C. Feb. 21, 2014 ...
Tuesday, September 17, 2013

SEC CHAIR WHITE ISSUED STATEMENT AFTER MEETING WITH LEADERS OF EXCHANGES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Securities and Exchange Commission Chair Mary Jo White today issued the following statemen...
Monday, May 13, 2013

SEC ISSUES INVESTOR ALERT REGARDING INVESTING IN PENSION OR SETTLEMENT INCOME STREAMS

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FROM: U.S. SECURITIES AND EXCHANGE COMISSION   Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financ...
Wednesday, May 1, 2013

MASSACHUSETTS RESIDENT SENTENCED FOR DEFRAUDING RARE COIN INVESTMENT CUSTOMERS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Defendant in SEC Action Sentenced On Related Criminal Charges, Receives 17 Year Senten...
Thursday, April 18, 2013

FORMER BROKERAGE EMPLOYEE CHARGED IN UNAUTHROIZED STOCK TRADING SCHEME

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., April 15, 2013 — The Securities and Exchange Commission charged a for...
Saturday, March 9, 2013

SEC PROPOSES NEW RULES TO PROTECT MARKETS FROM TECHNOLOGY ISSUES

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., March 7, 2013 — The Securities and Exchange Commission today unanim...
Thursday, April 12, 2012

SEC SAYS GOLDMAN, SACHS & CO. LACKED ADEQUATE PROCEDURES FOR RESEARCH "HUDDLES"

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FROM:  SEC SEC Charges Goldman, Sachs & Co. Lacked Adequate Policies and Procedures for Research “Huddles” FOR IMMEDIATE RELEASE 2012...
Wednesday, March 21, 2012

SEC CHARGES CHICAGO BROKER WITH INSIDER TRADING IN NBTY STOCK

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The following excerpt is from the SEC website: Washington, D.C., March 15, 2012 – The Securities and Exchange Commission today charged ...
Sunday, November 27, 2011

UNREGISTERED SECURITIES FRAUD NETS GOVERNMENT MILLIONS FROM FINES AND DISGOGEMENTS

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The following is an excerpt from the SEC web site: November 15, 2011 “The Securities and Exchange Commission announced today that on...
Sunday, November 6, 2011

SEC REQUIRES COMPLETE AND ACCURATE DOCUMENTS FROM FINRA

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The following excerpt is from the SEC website: “Washington, D.C., Oct. 27, 2011 — The Securities and Exchange Commission today ordere...
Thursday, September 8, 2011

SEC CHARGES EXECUTIVE AND FIRM WITH INSIDER TRADING SCHEME INVOLVING MOLDFLOW CORPORATION, AUTODESK, INC. AND SALESFORCE,COM, INC

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The following is an excerpt from the SEC website: “On August 31, 2011, the Securities and Exchange Commission charged James F...
Saturday, July 23, 2011

SEC GETS FAST FROZEN ASSETS OF THREE INSIDER TRADING FIRMS

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The following is an excerpt from the SEC website: Washington, D.C., July 18, 2011 – The Securities and Exchange Commission today ann...
Saturday, January 8, 2011

SEC INFORMS INVESTORS REGARDING TRADING SUSPENSIONS

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The following information is from the SEC web site. It helps to define the parameters the SEC uses when suspending the trading in a particu...