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Tag: Securities and Exchange Commission (SEC)

SEC charges hedge fund adviser with deceiving investors

The Securities and Exchange Commission (SEC) announced that it has charged New York-based investment adviser…

May 10, 2018 9:52 am

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…

May 9, 2018 2:48 pm

SEC shuts down $85 million ponzi scheme

The Securities and Exchange Commission (SEC) announced the unsealing of fraud charges against a Mississippi…

May 2, 2018 9:30 am

SEC pays whistleblower more than $2.1 million

The Securities and Exchange Commission (SEC) has announced a whistleblower award of more than $2.1…

April 13, 2018 9:10 am

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…

March 28, 2018 11:59 am

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,…

November 22, 2017 11:42 am

SEC 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…

October 19, 2017 10:03 am

SEC 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…

October 18, 2017 9:12 am

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…

September 29, 2017 10:06 am

SEC 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…

September 26, 2017 2:08 pm