Insights
August 6, 2015
The SEC called for an emergency asset freeze on two accounts, which hold assets of approximately $2 million. The brokerage accounts hold ill-gotten proceeds from a fraudulent EDGAR filing. The SEC tra...
August 5, 2015
Computer Sciences Corporation and eight former executives were charged with manipulating financial reports and covering up substantial issues about the company’s prestigious, multi-billion dollar cont...
August 4, 2015
Robert Keith Smith, formerly a broker with Berthel Fisher, has been accused by more than ten of his clients throughout his career of overconcentrating their accounts in private placement securities, i...
August 4, 2015
The SEC charged a brokerage firm, Macquarie Capital Inc., for underwriting a public offering after receiving a due diligence report signifying that a China-based company’s offering materials contained...
August 3, 2015
The SEC filed its first enforcement actions against 36 municipal underwriting firms under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. The MCDC is a voluntary self-reporting...
July 31, 2015
Financial advisor was accused of stealing at least $20 million from clients to fund his own private accounts. He then misused the majority of the money in extremely unsuccessful options trading. The S...
July 30, 2015
The SEC alleges a venture capital fund manager stole funds from one account to cover lost profits in another account in a Ponzi-like act. The capital fund manager, Gregory Gray, Jr., and his firms, Ar...
July 29, 2015
Two friends were charged by the SEC for wrongly profiting from inside trading after hearing unpublished news of a proposed acquisition of Cooper Tire and Rubber Company by Apollo Tyres Ltd. The SEC fi...
July 28, 2015
Officers, directors, trustees, or partners who hear about a fraud through another employee are not eligible for a whistleblower award until 120 days after the employee has failed to notify the SEC. Th...
July 27, 2015
KBR Inc., a global technology and engineering firm with its headquarters in Houston, TX, was charged with violating whistleblower protection Rule 21F-17, which forbids companies from taking any action...
July 23, 2015
The SEC filed a complaint in U.S. District Court in San Francisco alleging that Andrew Evans, a Canadian trader at his firm, Maritime Asset Management, illegally shorted U.S. stocks from December 2010...
July 21, 2015
Broker-Dealers Fined for Bond Trades Violations The SEC charged nearly two dozen companies and individuals who bought and sold securities for a Chicago-based trading firm without registering as a brok...
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