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 NASDAQ. Show all posts
Showing posts with label NASDAQ. Show all posts
Friday, December 12, 2014

SEC ANNOUNCES FORMER MANAGING DIRECTOR OF NASDAQ ORDERED TO DISGORGE INSIDER TRADING PROFITS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23156 / December 12, 2014 Securities and Exchange Commission v. ...
Sunday, June 8, 2014

SEC CHARGES WEB-BUSH SECURITIES INC., WITH VIOLATING AGENCY'S MARKET ACCESS RULE

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FROM:  U.S. SECURITIES EXCHANGE COMMISSION  The Securities and Exchange Commission announced charges against a Los Angeles-based market ...
Thursday, May 30, 2013

NASDAQ TO PAY $10 MILLION PENALTY TO SETTLE SEC CHARGES REGARDING FACEBOOK IPO

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FROM: SECURITIES AND EXCHANGE COMMISSION Washington, D.C., May 29, 2013 — The Securities and Exchange Commission today charged NASD...
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