SEC Sacks Football Hero 'Rudy' in Pump and Dump
Posted by admin on December 17, 2011
The Securities and Exchange Commission has charged 13 people, among them the hero of the football mo…
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SEC Revokes Longtop's Securities Registration
Posted by admin on December 15, 2011
The Securities and Exchange Commission revoked the securities registration of Longtop Financial Tech…
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SEC, FBI Charge 13 in Securities Kickback Sting
Posted by admin on December 2, 2011
The Securities and Exchange Commission and the FBI have charged 13 people in a securities kickback s…
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SEC's Settlement Policy Helps Conserve Budget and Maximize Enforcement Efforts, Khuzami Says
Posted by The PIPEs Report on
The Securities and Exchange Commission's policy of allowing alleged securities-law violators to sett…
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SEC Names Michael Conley as Deputy General Counsel for Litigation and Adjudication
Posted by The PIPEs Report on October 4, 2011
Michael Conley was named deputy general counsel in the Securities and Exchange Commission's Office o…
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SEC Sues Transfer Agent for Lost Securities, Multiple Sets of Books
Posted by admin on September 7, 2011
The Securities and Exchange Commission sued National Stock Transfer and its owners Kay Berensen-Gals…
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SEC investigating S&P’s downgrade of U.S. debt: report
Posted by Reuters: Business News on August 12, 2011
(Reuters) – The U.S. Securities and Exchange Commission (SEC) has asked rating agency Standard & Poor’s (S&P) to disclose which employees knew of its decision to downgrade U.S. debt before it was announced last week, the Financial Times said, citing people familiar with the matter.
SEC Fines Pump-and-Dumper $7.2M
Posted by admin on July 29, 2011
The Securities and Exchange Commission has won a $7.2 administrative penalty against Gordon Brent P…
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Pump-and-Dumpers Ordered to Repay $20.4M in Ill-Gotten Gains, Fines
Posted by The PIPEs Report on July 1, 2011
An action by the Securities and Exchange Commission that began in 2003 ended in U.S. …
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Pump-and-Dumpers Ordered to Repay $20.4M in Ill-Gotten Gains, Fines
Posted by admin on
An action by the Securities and Exchange Commission that began in 2003 ended in U.S. District Court …
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