SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities

(STL.News) – The Securities and Exchange Commission today issued a statement that invites exchanges and other market…

SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme

Washington DC (STL.News) The Securities and Exchange Commission has filed an emergency action and obtained an…

Alleged Fraudster Kevin B. Merrill Sentenced to 22 Years in Parallel Criminal Case

(STL.News) – One of the alleged perpetrators of a Ponzi-like scheme that raised more than $345…

SEC Promotes Teacher Investment Outreach efforts in connection with its Teachers Initiative

(STL.News) – The Securities and Exchange Commission today announced several teacher investment outreach efforts in connection with…

Robert Burson, Associate Regional Director of Chicago Office, to Retire From the SEC After 29 Years of Service

(STL.News) – The Securities and Exchange Commission today announced that Robert Burson, an Associate Regional Director of…

Federal Agencies Finalize Changes to Simplify Volcker Rule

Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Federal Deposit Insurance Corporation…

SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering

Telegram Group, Inc. and TON Issuer, Inc. alleged unregistered ongoing digital token offering in the US…

SEC Announces the Formation of Asset Management Advisory Committee

Washington D.C., (STL.News) – The Securities and Exchange Commission today announced the formation of its Asset Management…

SEC Charges CEO and CFO of Digital Entertainment Company with Misleading Investors

(STL.News) – On September 30, 2019, the Securities and Exchange Commission charged Chief Executive Officer Christopher…

SEC Obtains Partial Summary Judgment Against Investment Adviser and Principal On Undisclosed Compensation Claims

(STL.News) – On September 30, 2019, a federal district court in Connecticut granted partial summary judgment…

SEC Obtains Final Judgment Against Investment Banker Charged in Insider Trading Scheme

(STL.News) – On September 30, 2019, a federal court judge entered a final judgment in the…

SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, Approval

Washington DC (STL.News) – The Securities and Exchange Commission Tuesday proposed to require an amendment to…

SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank

Washington D.C., (STL.News) – The Securities and Exchange Commission today announced that it took a significant…

SEC Charges IIIinois Company and Its President with Affinity Fraud Targeting Christian Investors

(STL.News) – The Securities and Exchange Commission has charged a Naperville, Illinois-based corporation and its founder,…

SEC Charges South Florida Securities Attorney with Issuing Misleading Opinion Letters that Furthered Fraud on Thousands of Retail Investors

(STL.News) – The Securities and Exchange Commission today charged a South Florida attorney with aiding and…

SEC Charges Two New Defendants, Brian Quinn, David Skriloff, in Fraudulent Microcap Manipulation Scheme

Brian Quinn and David Skriloff charged for their roles in a scheme to profit from the…

SEC News: RSM US LLP Charged With Violating Auditor Independence Rules

Washington DC (STL.News) – The Securities and Exchange Commission today charged public accounting firm RSM US…

SEC Charges Real Estate Company, Hartman Wright Group, LLC and its Founder, Tytus W. Harkings with $8.75 Million Offering Fraud

Washington DC (STL.News) – The Securities and Exchange Commission filed charges against Hartman Wright Group, LLC,…

SEC News: SEC Charges TherapeuticsMD With Regulation FD Violations

Washington DC (STL.News) – The Securities and Exchange Commission today charged TherapeuticsMD Inc., a pharmaceutical company…

Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs

Washington DC (STL.News) – The Securities and Exchange Commission today announced that broker Cantor Fitzgerald &…

SEC Wins Jury Trial Against Broker Charged with Insider Trading, Raymond J. Pirrello, Jr

Washington DC (STL.News) – Today, jurors in Atlanta federal court returned a verdict finding New Jersey…

SEC Obtains Freeze of $8 Million in Assets of Reginald “Reggie” Middleton, in Alleged Fraudulent Token Offering, Manipulation Scheme

Washington DC (STL.News) – The Securities and Exchange Commission announced fraud charges against a Brooklyn individual…

SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud

Former executives, Michael Carroll, Michael Pappagallo, Steven Splain and Michael Mortimer charged as well Washington DC…

SEC News: Facebook to Pay $100 Million for Misleading Investors About the Risks It Faced From Misuse of User Data

Washington DC (STL.News) – The Securities and Exchange Commission (SEC) today announced charges against Facebook Inc.…

SEC Charges Portfolio Manager, Swapnil Rege, with Mispricing Fund Investments

Washington DC (STL.News) – The Securities and Exchange Commission today announced settled administrative proceedings against Swapnil…

SEC Charges Securities Lawyer, William Scott Lawler and Microcap Agent, Natalie Bannister, with Fraud

Washington DC (STL.News) – The Securities and Exchange Commission (SEC) Friday charged an Arizona-based attorney and…

SEC News: John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency

Washington DC (STL.News) – The Securities and Exchange Commission Wednesday announced that John W. Berry, Associate…

SEC Names Sagar Teotia As Chief Accountant

Washington DC (STL.News) – The Securities and Exchange Commission Wednesday announced that Sagar Teotia has been…

SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products

Washington DC (STL.News) – The Securities and Exchange Commission (SEC) announced yesterday that it has proposed…

SEC Charges Colorado Divorce Lawyer, Michael J. Woodford, in Fraudulent Microcap Scheme

Washington (STL.News) – The Securities and Exchange Commission (SEC) Friday charged lawyer Michael J. Woodford for…