SEC Staff to Host July 9 Roundtable on Emerging Markets

Washington DC (STL.News) The Securities and Exchange Commission today announced July 9 as the date for…

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…