SEC News: Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs

Washington DC (STL.News) The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay…

Former Congressman, Christopher Collins and Two Others Settle Insider Trading Charges

Washington, DC (STL.News) The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher…

SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock

(STL.News) – A Colorado stock promoter and two of his companies agreed to pay $4.2 million…

SEC Wins Trial, $1.8 Million Judgment Against Investment Adviser, The Nutmeg Group, for Defrauding Clients

(STL.News) An Illinois federal judge entered a final judgment on November 12, 2019 against an investment…

SEC Revokes Registration of International Investment Group, LLC

Washington, DC (STL.News) The Securities and Exchange Commission today revoked the registration of New York-based investment…

SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud

Washington DC (STL.News) The Securities and Exchange Commission Friday announced an award to three individuals who…

SEC Obtains Final Judgments Against Broker and Two Principals Found Liable for Fraud

(STL.News) – On October 1, 2019, the Honorable Kimba M. Wood of the United States District…

SEC Wins Jury Trial in Layering, Manipulative Trading Case

(STL.News) – Today, jurors in New York federal court returned a verdict in the Securities and…

SEC Charges Man for Defrauding Investors in Surfboard Scheme

(STL.News) – The Securities and Exchange Commission today announced charges against a Florida man and his…

SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019

(STL.News) – The Securities and Exchange Commission’s Division of Enforcement today issued its annual report for…

SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints

Washington, DC (STL.News) The Securities and Exchange Commission today filed an amended complaint against online auction…

Defendant in SEC Enforcement Action Convicted of Securities Fraud and Obstructing the Sec’s Investigation

(STL.News) – A Massachusetts man charged by the Securities and Exchange Commission with misleading investors was…

SEC and Fordham University School of Law to Host Conference on Combating Community-Based Financial Fraud

(STL.News) – The Securities and Exchange Commission’s New York Regional Office and Fordham University School of…

Beware of Spoofed Websites Offering Phony Certificates of Deposit – Investor Alert

(STL.News) – The SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert…

SEC Investor Advisory Committee to Meet on Nov. 7

(STL.News) – The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on…

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…