The Securities and Exchange Commission (SEC) has announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges…
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Tag: SEC
SEC charges U.S. Congressman with insider trading
The Securities and Exchange Commission (SEC) has announced the filing of insider trading charges against Congressman Christopher Collins, the U.S….
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SEC updates list of firms using inaccurate information to solicit investors
The Securities and Exchange Commission (SEC) has announced that it has updated its list of unregistered firms that use misleading…
Read MoreSEC detects Silicon Valley executive’s insider trading
The Securities and Exchange Commission (SEC) has announced that a senior executive at a Silicon Valley fiber optics company has…
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SEC files charges in busted microcap fraud schemes
The Securities and Exchange Commission (SEC) has informed that it has charged a stock promoter and four others involved in…
Read MoreSEC and CFTC announce approval of new MoU
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have announced that the two agencies have…
Read MoreSEC shuts down $102 million ponzi scheme
The Securities and Exchange Commission (SEC) has announced that it has filed charges and obtained an asset freeze against the…
Read MoreSEC names Maurya C. Keating an Associate Regional Director for Examinations
The Securities and Exchange Commission (SEC) announced that Maurya C. Keating has been named an Associate Regional Director for the…
Read MoreEthereum Futures on their way?
The SEC has recently announced that Ethereum, the second largest cryptocurrency in the world by market cap, will not be…
Read MoreMerrill Lynch charged for failure to supervise RMBS traders
The Securities and Exchange Commission (SEC) announced that Merrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15…
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