The Securities and Exchange Commission (SEC) announced that it has charged New York-based investment adviser Premium Point Investments LP with…
Read MoreTag: Securities and Exchange Commission (SEC)
Hedge fund firm charged for asset mismarking and insider trading
The Securities and Exchange Commission (SEC) announced the hedge fund advisory firm Visium Asset Management LP has agreed to settle…
Read MoreSEC shuts down $85 million ponzi scheme
The Securities and Exchange Commission (SEC) announced the unsealing of fraud charges against a Mississippi company and its principal who…
Read MoreSEC pays whistleblower more than $2.1 million
The Securities and Exchange Commission (SEC) has announced a whistleblower award of more than $2.1 million to a former company…
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Maxwell Technologies charged in fraudulent scheme to inflate financial results
The Securities and Exchange Commission (SEC) has informed the public that it has charged a California-based energy storage and power…
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Long Island town and former top official charged with defrauding municipal investors
The Securities and Exchange Commission (SEC) informed that it has charged Oyster Bay, New York, and its former top elected…
Read MoreSEC names Brett Redfearn as Director of the Division of Trading and Markets
The Securities and Exchange Commission (SEC) announced that Brett Redfearn has been named Director of the agency’s Division of Trading…
Read MoreSEC charges mining company Rio Tinto and former Executives with fraud
The Securities and Exchange Commission (SEC) anounced that it has charged mining company Rio Tinto and two former top executives…
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SEC charges Alexander Capital L.P. brokers defrauding customers
The Securities and Exchange Commission (SEC) announced that has charged three New York-based brokers with making unsuitable recommendations that resulted…
Read MoreSEC announces enforcement initiatives to combat cyber-based threats and protect retail investors
As a follow up news today, the Securities and Exchange Commission (SEC) just announced two new initiatives that will build…
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