SEC Charges Swiss Resident in Insider Trading Case Involving Bioverativ Acquisition

WASHINGTON DC (STL.News) – The Securities and Exchange Commission (SEC) yesterday filed an amended complaint naming…

US Securities and Exchange Commission News: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

Washington DC (STL.News) – The Securities and Exchange Commission yesterday announced that it updated its list…

SEC Charges Issuer, Kik Interactive, Inc., With Conducting $100 Million Unregistered ICO

Washington DC (STL.News) – The Securities and Exchange Commission today sued Kik Interactive Inc. for conducting…

SEC News: Silicon Valley Company, Prosper, Settles Fraud Charge for Misstating Returns to Investors

Washington DC (STL.News) – The Securities and Exchange Commission Friday announced that Prosper Funding LLC will pay…

SEC Charges Roadrunner Transportation Systems Executives With Accounting Fraud

Peter Armbruster, Bret Naggs and Mark Wogsland are charged with fraud by the SEC Washington DC…

Business News: VF Corporation Announces Public Filing of Form 10 Registration Statement for Planned Separation of Kontoor Brands, Inc., Availability of Investor Presentation

GREENSBORO, NC (STL.News) – VF Corporation (NYSE: VFC), a global leader in branded lifestyle apparel, footwear…

SEC News: SEC Charges College Official, Keith Borge, for Fraudulently Concealing Financial Troubles From Municipal Bond Investors

Washington DC (STL.News) – The Securities and Exchange Commission Thursday charged the former controller of a New…

SEC News: Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements

Washington DC – (STL.News) – The Securities and Exchange Commission and the United Kingdom (UK) Financial Conduct…

SEC News: SEC Charges Medical Device Company, Fresenius Medical Care AG & Co, With FCPA Violations

Washington DC (STL.News) – The Securities and Exchange Commission Friday announced that Fresenius Medical Care AG &…

SEC News: Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office

Washington DC (STL.News) – The Securities and Exchange Commission today announced that Justin C. Jeffries has been…

SEC News: SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During “Clean Diesel” Emissions Fraud

Washington DC (STL.News) – The Securities and Exchange Commission yesterday charged Volkswagen AG, two of its subsidiaries,…

SEC News: Wedbush Settles Failure to Supervise Charge

Washington DC (STL.News) – The Securities and Exchange Commission announced today that Wedbush Securities Inc. will pay…

SEC News: SEC Names Gabriel Benincasa As Its First Chief Risk Officer

Washington DC (STL.News) — The Securities and Exchange Commission today announced that Gabriel Benincasa has been named…

Business News: SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Management, Cybersecurity

Washington D.C. (STL.News) – The Commission yesterday modified the submission deadlines for registered investment companies filing non-public…

SEC News: Two Alleged Market Manipulators, David Aubel and Robert Raffa, Sentenced in Parallel Criminal Case

Securities and Exchange Commission v. David Aubel and Robert Raffa, No. 16-CV-10670 (D. Mass. filed Apr.…

Massachusetts News: Idaho Man, Samuel Brown Sentenced for Engaging in Penny Stock Fraud and Making False Statements to the SEC

BOSTON, Ms. – An Idaho man was sentenced yesterday in federal court in Boston for participating…

SEC News: SEC Charges Four Public Companies With Longstanding ICFR Failures

Washington DC – Jan. 29, 2019 — The Securities and Exchange Commission today announced settled charges against…

SEC News: JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs

Washington D.C. – The Securities and Exchange Commission (SEC) today announced that JPMorgan Chase Bank N.A. will…

SEC News: SEC Obtains Judgment Against, John T. Place, Former CEO in Transition Management Fraud Case

U.S. Securities and Exchange Commission v. John T. Place, et al., No. 16-cv-04291 (E.D. Pa. filed…

Business News: Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule

Washington DC – Five federal financial regulatory agencies on Friday invited public comment on a proposal that…

SEC News: SEC Charges an Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors

Securities and Exchange Commission v. Robert S. “Lute” Davis, Jr., et al., No. 2:18-cv-10481 (C.D. Cal.…

SEC News: SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A

Washington D.C. – The Securities and Exchange Commission (SEC) adopted final rules to allow reporting companies to rely…

SEC News: SEC Charges Former Panasonic Executives, Paul A. Margis

Washington DC – The Securities and Exchange Commission (SEC) today charged two former senior executives of the U.S.…

SEC News: SEC Adopts Final Rules for Disclosure of Hedging Policies

Washington DC – The Securities and Exchange Commission (SEC) today approved final rules to require companies to disclose…

SEC News: Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service

Washington DC – The Securities and Exchange Commission (SEC) today announced that Scott W. Bauguess, Deputy Director of…

SEC News: SEC Obtains Final Judgment Against Suburban Chicago Tech Executive, Gregory E. Webb

SEC v. Gregory E. Webb, et al., No. 11-CV-7152 (N.D. Ill. filed Oct. 11, 2011) WASHINGTON…

SEC News: SEC Charges Former New York Investment Advisor, Hector May and Daughter, Vania Bell, With Conducting a Ponzi Scheme

Washington D.C. – The Securities and Exchange Commission (SEC) today charged a former Rockland County, New York-based investment…

SEC News: SEC Halts Alleged Insider Trading Ring Spanning Three Countries

Securities and Exchange Commission v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni, No. 18-CV-11390…

SEC News: SEC Files Subpoena Enforcement in Possible Market Manipulation Scheme

Securities and Exchange Commission v. NVC Fund LLC and Frank Ekejija, No. 2:18-mc-00164 (C.D. Cal. filed…

Business News: SEC Charges Owner of Options Trading Website for Defrauding Retail Investors

Securities and Exchange Commission v. Mark Suleymanov, No. 2:18-cv-06854 (E.D.N.Y. filed December 3, 2018) WASHINGTON –…