Showing posts with label SEC. Show all posts
Showing posts with label SEC. Show all posts
Monday, June 21, 2021

SEC.gov | SEC Obtains Asset Freeze Against Offshore Fund and Its Operators

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SEC.gov | SEC Obtains Asset Freeze Against Offshore Fund and Its Operators SEC finds yet another scheme to defraud investors.  
Wednesday, December 6, 2017

SEC ANNOUNCING MORE BROKERS CHARGED FOR FRAUD

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The following press release comes from the U.S. Securities and Exchange Commission Press Release SEC Continues Crackdown on Brokers Def...
Friday, June 10, 2016

SEC ANNOUNCES $17 MILLION WHISTLEBLOWER AWARD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Washington D.C., June 9, 2016 — The Securities and Exchange Commission today announced a ...
Monday, January 26, 2015

ASSISTANT AG SUNG-HEE SUH'S REMARKS REGARDING SECURITIES REGULATION IN EUROPE

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FROM:  U.S. JUSTICE DEPARTMENT  Tuesday, January 20, 2015 Deputy Assistant Attorney General Sung-Hee Suh Speaks at the PLI’s 14th Annua...
Sunday, November 16, 2014

SEC ANNOUNCES CHARGES AGAINST 2 OPERATORS IN HIGH-YIELD INVESTMENT SCHEME

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FROM:  U.S. SECURITIES AND INVESTMENT COMMISSION   The Securities and Exchange Commission announced charges against two India-based opera...
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...
Thursday, August 28, 2014

ASSET-BACKED SECURITIES REFORM RULES ADOPTED BY SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Adopts Asset-Backed Securities Reform Rules 08/27/2014 02:30 PM EDT The Securit...
Tuesday, August 5, 2014

COURT ENTERS JUDGEMENT AGAINST BROKER FOR SELLING UNREGISTERED STOCK IN ALZHEIMER'S TREATMENT COMPANY

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Court Enters Judgment Against Unregistered Broker for Role in Investment Scheme Involving...
Monday, June 16, 2014

FINAL "PAY TO PLAY" RETIREMENT FUND DEFENDANT CHARGED BY SEC

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Final Defendant Settles SEC Fraud Charges in "Pay to Play" Case Involving New Yor...
Monday, June 9, 2014

SEC AWARDS $875,000 IN WHISTLEBLOWER MONEY TO BE SPLIT BETWEEN TWO TIPSTERS

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FROM:  U.S. SECURITIES AND EXCHANGE  COMMISSION  The Securities and Exchange Commission today announced a whistleblower award of more th...
Sunday, June 1, 2014

COMPANY DIRECTOR CHARGED BY SEC WITH INSIDER TRADING AHEAD OF SALE TO PRIVATE EQUITY FIRM

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  On May 22, 2014, the Securities and Exchange Commission charged a former director of a Lo...
Friday, May 9, 2014

SEC BRINGS FRAUD CHARGES AGAINST INVESTMENT ADVISORY FIRM, EXECUTIVES FOR FALSIFYING PERFORMANCE RESULTS

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FROM:  U.S SECURITIES AND EXCHANGE COMMISSION  May 8, 2014 The Securities and Exchange Commission today announced fraud charges and an a...
Thursday, May 1, 2014

"MAKE A LOT OF MONEY" COMPANY OWNER CHARGED BY SEC FOR PRIME BANK SCHEMES

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Charges Las Vegas Resident and His Company with Securities and Broker-Dealer Registration ...
Sunday, April 27, 2014

SEC FILES INSIDER TRADING CHARGES AGAINST FORMER NVIDIA CORP. ACCOUNTING MANAGER

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission filed insider trading charges against a former account...
Friday, April 25, 2014

PROSECUTORS CHARGE ALLEGED PONZI SCHEMER WITH VIOLATING SEC OBTAINED COURT ORDERS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Federal Prosecutors Charge Massachusetts Resident with Criminal Contempt Based On Violati...
Thursday, April 24, 2014

SEC FILES ACTION AGAINST IMPRISONED FORMER STOCK PROMOTER

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Files Action Against Former Stock Promoter Now in Prison for Lying to SEC Investigators ...
Tuesday, March 18, 2014

SEC ENCOURAGES ISSUERS, UNDERWRITERS OF MUNICIPAL SECURITIES TO SELF-REPORT VIOLATIONS OF SECURITIES LAWS

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced a new cooperation initiative out of its Enforc...
Monday, March 17, 2014

EMERGENCY ASSET FREEZE ACTION FILED AGAINST MICROCAP STOCK SCALPING PROMOTER

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Files Emergency Action Against Promoter Behind Microcap Stock Scalping Scheme, Obtains Asset...
Sunday, March 16, 2014

SEC CHARGES FORMER ANALYST OF INSIDER TRADING

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge ...
Friday, March 14, 2014

SEC ANNOUNCES ACTIONS AGAINST BROKERS, FIRM AND OTHERS INVOLVED IN VARIABLE ANNUITIES SCHEME

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced enforcement actions against a pair of br...