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…

SEC Charges New Defendant, Jason Sugarman, in $43 Million Tribal Bonds Scheme

Washington DC (STL.News) – The Securities and Exchange Commission today charged a Los Angeles man for…

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…