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The Securities and Exchange Commission today announced an award to three individuals who jointly submitted a tip alerting the agency to a well-concealed fraud targeting retail investors. The information led to a successful enforcement action.Source: Securities Exchange Commission
7 days ago · From Securities Exchange Commission
The Securities and ExchangeCommission today named Marie-Louise (Malou) Huth as Chief Counsel for the Division of Economic and Risk Analysis (DERA). Ms. Huth will lead DERAs Office of the Chief Counsel, which provides guidance to theSource: Securities Exchange Commission
9 days ago · From Securities Exchange Commission
Today, jurors in New York federal court returned a verdict in the Securities and Exchange Commission's favor against a trading firm headquartered in Kiev, Ukraine, and two individuals for their roles in an unlawful trading scheme that generated more thanSource: Securities Exchange Commission
10 days ago · From Securities Exchange Commission
The Securities and Exchange Commission today released the agenda for the Tuesday, Nov. 12 meeting of its Small Business Capital Formation Advisory Committee. The committee provides the Commission with advice and recommendations on Commission rules,Source: Securities Exchange Commission
06.11.2019 · From Securities Exchange Commission
The Securities and Exchange Commission today filed charges against a New York investment adviser for operating a multimillion-dollar investment club that was actually a fraudulent Ponzi scheme targeting members of the local Haitian community as well asSource: Securities Exchange Commission
06.11.2019 · From Securities Exchange Commission