SEC Awards Approximately $2 Million to Whistle-blower

Washington, DC (STL.News) The Securities and Exchange Commission Friday announced an award of approximately $2 million…

SEC Obtains Judgment Against Jeffrey E. Wall, Who Fraudulently Raised $3 Million for Christian Concerts

SEC Obtains Judgment Against Promoter, Jeffrey E. Wall and his company, The Lighthouse Events, LLC Who…

SEC Awards $450,000 to Whistle-blower

Washington, DC (STL.News) The Securities and Exchange Commission today announced an award of $450,000 to a…

SEC Provides Additional Temporary Regulatory Relief – Affected by COVID-19

SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19 SEC continues…

SEC Extends Conditional Exemptions

SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment…

SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus

Permits Funds to Use Additional Funding and Other Tools to Manage their Portfolios for the Benefit…

SEC Awards Over $1.6 Million to Whistleblower

Washington DC (STL.News) The Securities and Exchange Commission today announced an award of more than $1.6…

SEC Provides Conditional Regulatory Relief

SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the…

Jury Finds Investment Adviser, Westport Capital Markets, LLC, and its Owner, Christopher E. McClure Liable for Fraud

Washington, DC (STL.News) Today, jurors in New Haven, Connecticut, federal court returned a verdict in the…

Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading

Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed…

Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC

Washington, DC (STL.News) The Securities and Exchange Commission today announced that Kyle Moffatt, Chief Accountant and…

SEC Halts Fraudulent Offering By Florida Investment Adviser, Kinetic Investment Group and Michael Scott Williams

Washington DC (STL.News) On March 6, 2020, the Securities and Exchange Commission obtained an asset freeze…

SEC Charges Two Additional Traders, Tomer Feingold, Dov Malnik in International Insider Trading Scheme

Washington, DC (STL.News) On March 3, 2020, the Securities and Exchange Commission charged two traders in…

Longfin Corp. CEO, Venkata S. Meenavalli Settles Fraud Action

Washington, DC (STL.News) The Securities and Exchange Commission Friday announced that Longfin Corp. CEO Venkata S.…

SEC Charges Six Individuals in International Microcap Fraud Schemes

Washington, DC (STL.News) The Securities and Exchange Commission today charged six individuals and their companies with…

Quantum Corporation Settles Legacy SEC Investigation

SAN JOSE, CA (STL.News) Quantum Corporation (OTC: QMCO) announced today that the Company and the Securities…

SEC Charges Investment Adviser, Springer Financial Advisors, and owner, Keith Springer With Defrauding Retirees

Washington, DC (STL.News) The Securities and Exchange Commission Thursday charged Sacramento, California-based investment adviser firm Springer…

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…