SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Former Apollo Partner Charged With Secretly Billing Clients for Vacations, Salon Visits: Enforcement
By Emily ZulzThe SEC also obtained a judgment against a real estate developer who fled after being convicted of insider trading.
October 20, 2017
Advisor Charged With Stealing $9M From Elderly Woman’s Foundation: EnforcementMeanwhile, a Massachusetts advisor is accused of steering clients into funds in which he had an interest.
October 17, 2017
Senate Panel Schedules SEC Nomination Hearing for Peirce, JacksonIf confirmed by the full Senate next week, both would enter the agency as it crafts a fiduciary rule.
October 17, 2017
SEC Charges Miner Rio Tinto, Former Execs With FraudThe firm inflated the value of coal assets acquired for $3.7 billion and sold a few years later for $50 million, the SEC says.
October 13, 2017
SEC Charges 3 in Caffeinated Snack Scam: EnforcementIn another action, the SEC charged an attorney with participating in a Ponzi scheme.
October 10, 2017
Former F-Squared Investments CEO Convicted of FraudAs SEC proved at trial, Howard Present perpetuated F-Squareds false and misleading claims through statements and ads, SECs Steven Peikin says.
October 06, 2017
Advisor Charged in Multimillion-Dollar Options Trading Scheme: EnforcementThe SEC also obtained a $58 million judgment against the perpetrator of international pump-and-dump scheme involving Marley Coffee.
October 06, 2017
ICOs Will Stay in SEC’s Enforcement CrosshairsIn short, the SEC will be looking at initial coin offerings for violations of the sort they routinely look for in other contexts.