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

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

Chief Administrative Law Judge Brenda Murray to Retire

(STL.News) – The Securities and Exchange Commission today announced that Chief Administrative Law Judge Brenda Murray…

SEC Charges Former Top Executives of Healthcare Advertising Company With $487 Million Fraud

(STL.News) – The Securities and Exchange Commission today amended a complaint to charge four former executives…

SEC Charges Man for Defrauding Elderly Investors

(STL.News) – The Securities and Exchange Commission announced charges against an Arizona resident for fraudulently raising…

SEC Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets

(STL.News) – The Securities and Exchange Commission today announced that it will host a conference on…

Court Sentences Florida Resident to Prison and Orders Payment of Over $3 Million in Market Manipulation Scheme

(STL.News) – U.S. District Court for the District of Massachusetts sentenced St. Petersburg, Florida resident Gregory…

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 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 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…

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…