Former Head of Company Admits Insider Trading

Former Head of Corporate Communications of $21 Billion Biopharmaceutical Company Admits Insider Trading (STL.News) The former…

LJM Funds Management Founder’s Statement

LJM Funds Management Founder’s Statement in response to SEC and CFTC Actions (STL.News) We published two…

SEC News: Suspends Trading in Inactive Issuer Touted on Social Media

Washington, DC (STL.News) The Securities and Exchange Commission today suspended trading in an inactive company amid…

SEC files Administrative Proceeding against Northern Trust Hedge Fund Services, LLC

Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding, File No. 3-20030,…

SEC files Administrative Proceeding against Henry Seth Brock, CPA

Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding against Henry…

SEC Charges Connecticut Investment Adviser, Hai Khoa Dange with Defrauding Retired Couple

Washington, DC (STL.News) The Securities and Exchange Commission today charged Connecticut-based investment adviser Hai Khoa Dang…

SEC files an Administrative Proceeding Against Benaiah Holdings Group

Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding against Benaiah…

Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners

Washington, DC (STL.News) The Securities and Exchange Commission today announced that Caroline A. Crenshaw and Hester…

Deputy Chief Accountant Marc Panucci to Leave SEC

Washington DC (STL.News) The Securities and Exchange Commission today announced that Marc Panucci, Deputy Chief Accountant,…

Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act

Washington DC (STL.News) The Securities and Exchange Commission and the Federal Deposit Insurance Corporation have adopted…

SEC Charges Trustify Inc. and Founder, Daniel Boice in $18.5 Million Offering Fraud

Washington DC (STL.News) The Securities and Exchange Commission today charged Trustify Inc., an online marketplace purportedly…

SEC Charges Silicon Valley Start-Up, YouPlus, Founder and CEO, Shaukat Shamim, With Defrauding Investors

Washington DC (STL.News) The Securities and Exchange Commission Monday charged a Mountain View, California-based technology start-up…