Showing posts with label SECURITIES AND EXCHANGE COMMISSION. Show all posts
Showing posts with label SECURITIES AND EXCHANGE COMMISSION. Show all posts
Saturday, August 10, 2013

LABOR, SEC RENEW MEMORANDUM OF UNDERSTANDING REGARDING SHARED INFORMATION ON RETIREMENT AND INVESTMENTS

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FROM:   U.S. DEPARTMENT OF LABOR US Labor Department renews its memorandum of understanding with Securities and Exchange Commission WASH...
Wednesday, July 31, 2013

ATTORNEY SUSPENDED FROM PRACTICING LAW FOR THREE YEARS OVER INSIDER TRADING ROLE

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FROM:  SECURITIES AND EXCHANGE COMMISSION  New York State Suspends Attorney Mitchell S. Drucker from Practicing Law for Three Years Based ...
Sunday, February 24, 2013

FUND MANAGER CHARGED FOR ALLEGED RISKY MORTGAGE-RELATED INVESTMENT

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FROM: SECURITIES AND EXCHANGE COMMISSION SEC Charges Fund Manager in Scheme Involving Risky Mortgage-Related Investment The Securit...
Monday, January 7, 2013

SEC OBTAINS JUDGEMENTS AGAINST FORMER SPONGETECH EXECUTIVES MICHAEL E. METTER AND STEVEN Y. MOSKOWITZ

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FROM: SECURITIES AND EXCHANGE COMMISSION   The Securities and Exchange Commission announced that on December 18, 2012 and June 12, 20...
Monday, November 19, 2012

SEC CHARGES MASSACHUSETTS MUTUAL 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 Mass...
Saturday, October 27, 2012

SEC CHARGES CEO WITH INSIDER TRADING ON CONFIDENTIAL INFORMATION

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FROM: SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Oct. 26, 2012 — The Securities and Exchange Commission today charged an i...
Saturday, September 29, 2012

SEC CHARGES FORMER CEO AND CHAIRMAN OF MAMTEK U.S. WITH FRAUD IN THE OFFER AND SALE OF MUNICIPAL BONDS

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FROM: SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today filed suit in U.S. District Court for the Centra...
Friday, September 14, 2012

BROKER AND COMPANY CHARGED WITH STEAING INVESTOR FUNDS

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FROM: SECURITIES AND EXCHANGE COMMISSION Charges Connecticut-Based Broker for Stealing Investor Funds The Securities and Exchange ...
Saturday, September 8, 2012

ISIDER TRADING ON KNOWLEDGE OF INTENDED TENDOR OFFER

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FROM: SECURITIES AND EXCHANGE COMMISSION SEC Charges Georgia Resident with Insider Trading On August 28, 2012, the Securities and...
Monday, August 20, 2012

NEW CHARGES IN INSIDER TRADING CASE

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FROM: SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today announced a second round of charges in an insid...
Tuesday, August 7, 2012

FINAL JUDGEMENTS ENTERED AGAINST INOFIN EXECUTIVES IN $110 MILLION UNREGISTERED NOTES CASE

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FROM: SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission announced today that final judgments were entered on Ju...
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Monday, August 6, 2012

MAN CHARGED WITH INSIDE TRADING ON FRIEND'S INSIDER KNOWLEDGE

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FROM:  SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission announced today that it has filed a complaint against ...
Thursday, July 26, 2012

SEC EDUCATION: INTERNATIONAL INVESTING

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FROM: SECURITIES AND EXCHANGE COMMISSION The Office of Investor Education and Advocacy has provided this information as a service to in...

CEO FRIEND CHARGED WITH INSIDER TRADING

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FROM: SECURITIES AND EXCHANGE COMMISSION Washington, D.C., July 25, 2012 — The Securities and Exchange Commission has charged the clos...
Saturday, July 7, 2012

TWO INDICTED FOR ALLEGEDLY BRIBING STOCK BROKERS TO MANIPULATE A 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 Role...
Friday, July 6, 2012

THE PROTECTION OF INVESTORS FROM FRAUDSTERS

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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. Atto...
Tuesday, July 3, 2012

INVESTMENT ADVISER SUSPECTED OF FRAUD 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 cou...
Saturday, June 30, 2012

SEC ALLEGES MARKET MANIPULATION

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FROM:  SECURITIES AND EXCHANGE COMMISSION Washington, D.C., June 27, 2012 — The Securities and Exchange Commission today filed fraud charge...