Showing posts with label U.S. SECURITIES AND EXCHANGE COMMISSION. Show all posts
Showing posts with label U.S. SECURITIES AND EXCHANGE COMMISSION. Show all posts
Sunday, August 18, 2013

SEC CHARGES TWO FORMER JP MORGAN TRADERS WITH FRAUDULENTLY OVERVALUING INVESTMENTS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Securities and Exchange Commission v. Javier Martin-Artajo and Julien G. Grout, Civil Actio...
Monday, March 18, 2013

SEC CHARGES EDMUND E. WILSON AND WALTER L. ROSS WITH VIOLATIONS OF THE FEDERAL SECURITIES LAWS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION On March 14, 2013, the Securities and Exchange Commission filed a civil injunctive act...
Sunday, March 10, 2013

SEC OBTAINS FINAL JUDGMENT AGAINST SCOTT KUPERSMITH IN FREE-RIDING CASE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission announced today that on March 6, 2013, the Honor...
Friday, March 8, 2013

SEC COMMISSIONER LUIS A. AGUILAR SPEAKS ABOUT AUTOMATED SYSTEMS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Developing Solutions to Ensure that the Automated Systems of Our Marketplace are Secure,...
Sunday, March 3, 2013

SEC SETTLES PENNY STOCK MANIPULATION CHARGES WITH DEFENDANT

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Defendant Adam S. Rosengard Settles SEC Charges in Penny Stock Manipulation Case The ...
Saturday, March 2, 2013

CHINA-BASED COMPAN Y AND CFO CHARGED BY SEC WITH DISCLOSURE VIOLATIONS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 28, 2013 — The Securities and Exchange Commission today charged...
Friday, March 1, 2013

SEC CHARGES HEDGE FUND MANAGERS WITH SECURITIES FRAUD

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Connecticut Hedge Fund Managers With Securities Fraud In February 26, 201...
Wednesday, February 27, 2013

SEC ACCUSES TWO HEDGEFUND MANAGERS WITH INVESTOR FAVORITISM

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 26, 2013 — The Securities and Exchange Commission today charged ...
Monday, February 25, 2013

SEC COMMISSIONER GALLAGHER'S REMARKS AT "SEC SPEAKS IN 2013" CONFERENCE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Remarks at "The SEC Speaks in 2013" by Commissioner Daniel M. Gallagher U....

ALLEGED INVESTMENT FRAUD BY ISLAND INVETMENT ADVISER

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 21, 2013 — The Securities and Exchange Commission today charged...
Saturday, February 23, 2013

SEC SETTLES WITH EXECUTIVES IN COMPENSATION CASE

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION   Executives to be Permanently Enjoined, to Pay Civil Penalties and Disgorgement, and to...
Friday, February 22, 2013

ASSET FREEZE ANNOUNCED BECAUSE OF SUSPICIOUS TRADING AHEAD OF H.J. HEINZ ACQUISITION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 15, 2013 — The Securities and Exchange Commission today obtaine...
Wednesday, February 20, 2013

"AMERICA'S PROPHET" PSYCHIC MORTON RECIEVES DEFAULT JUDGEMENT AGAINST HIIM

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 22619 / February 15, 2013 District Court Grants Securities and...
Monday, February 18, 2013

BROKERAGE FIRM AND BROKERS CHARGED WITH STEERING CLIENTS FOR COMMISSIONS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Feb. 15, 2013 — The Securities and Exchange Commission today announced...