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Regulation
SEC Uncovers Cherry-Picking Scheme and Charges Investment Advisor for Fraud
Breton placed trades through a brokerage account allocating profitable trades to himself and unprofitable ones to clients.
Thursday, 26/01/2017 | 07:37 GMT
by
Finance Magnates Staff
Regulation
SEC’s Whistleblower Office Hands Out $7 Million Award to Three Tipsters
Since 2012, SEC enforcement actions from whistleblower tips have resulted in more than $935 million in financial remedies.
Monday, 23/01/2017 | 18:27 GMT
by
Aziz Abdel-Qader
Regulation
SEC Establishes Oversight Cooperation Agreement with Hong Kong's SFC
The arrangement is part of the SEC's strategy to enhance the supervision of regulated entities operating across national borders.
Friday, 20/01/2017 | 07:38 GMT
by
Finance Magnates Staff
Regulation
SEC Charges BlackRock For Removing Whistleblower Incentives
BlackRock coerced departing employees into signing separation agreements waiving their ability to obtain whistleblower awards.
Wednesday, 18/01/2017 | 08:35 GMT
by
Finance Magnates Staff
Regulation
Morgan Stanley Ordered to Pay $13m Penalty for Overcharging Clients
Long-running deficiencies in safeguards resulted in billing errors causing customers to be overcharged.
Friday, 13/01/2017 | 19:33 GMT
by
Finance Magnates Staff
Regulation
ITG Settles for Over $24m with SEC Over ADR Securities Violations
ITG has agreed to settle with the SEC for $24.4 million after its handling of ADR securities.
Thursday, 12/01/2017 | 16:57 GMT
by
Jeff Patterson
Regulation
SEC Charges Two Brokers for Defrauding Multiple Traders
The US regulator recommended the use of an in-and-out trading strategy that was unsuitable for its clients.
Tuesday, 10/01/2017 | 08:38 GMT
by
Finance Magnates Staff
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Executive Moves
Trump Administration Eying Wall Street Lawyer Jay Clayton as SEC Head
Jay Clayton has emerged as the frontrunner for SEC Head under the Trump administration.
Wednesday, 04/01/2017 | 16:06 GMT
by
Jeff Patterson
Regulation
SEC Charges Bosses of Fake Day-Trading Firm with Defrauding Novice Investors
The two fraudsters behind the scheme pocketed over $1.4 million from investors across the world.
Thursday, 22/12/2016 | 08:59 GMT
by
Finance Magnates Staff
Regulation
Morgan Stanley Ordered to Pay $7.5 million for Misusing Customer Cash
Morgan Stanley agreed to pay $7.5 million but without publicly acknowledging violations of the federal securities laws.
Tuesday, 20/12/2016 | 17:23 GMT
by
Aziz Abdel-Qader
Regulation
SEC Charges Platinum Funds and Founder for Engaging in Fraudulent Scheme
Mark Nordlicht inflated asset values and illicitly moved investor money to cover losses and liquidity problems.
Tuesday, 20/12/2016 | 09:33 GMT
by
Finance Magnates Staff
Regulation
SEC Charges Broker-Dealer and Associates with Violating Market Structure Rules
This is the first time that the SEC has charged the CEO of a broker-dealer with Market Access Rule violations.
Monday, 19/12/2016 | 07:18 GMT
by
Finance Magnates Staff
Regulation
SEC Settles $37m Charges with Deutsche Bank Over Order Router Lapse
Deutsche Bank has agreed to settle with the SEC and the NY Attorney General’s office for $37m.
Friday, 16/12/2016 | 21:12 GMT
by
Jeff Patterson
Regulation
SEC Cracks Down on Illegal Stock Racket Worth $26m
Joseph Taub and Elazar Shmalo have been charged with abuse and the manipulation of the stock market.
Monday, 12/12/2016 | 19:41 GMT
by
Jeff Patterson
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Regulation
SEC’s Whistleblower Program Pays Out Second Weekly Reward
The SEC has had a busy week with several whistleblowers playing key roles in investigations, resulting in payouts.
Friday, 09/12/2016 | 18:36 GMT
by
Jeff Patterson
Regulation
SEC’s Whistleblower Program Awards Another $3.5m
The SEC's Whistleblower Program has awarded $3.5 million following its latest enforcement action.
Monday, 05/12/2016 | 16:48 GMT
by
Jeff Patterson
Regulation
PIMCO Settles with SEC For $20m After Misleading Investors Over ETF
PIMCO was on the hook for $20m to settle charges to the SEC after misleading investors over its ETF performance.
Thursday, 01/12/2016 | 22:09 GMT
by
Jeff Patterson
Executive Moves
SEC’s Director Stephen Luparello to Part Ways With Regulator
Mr. Luparello is leaving the SEC after less than three years as Director of the Division of Trading and Markets.
Monday, 21/11/2016 | 23:02 GMT
by
Jeff Patterson
Regulation
SEC Approves FINRA Rules for Further Price Disclosure on Retail Transactions
The pricing disclosure would include a dealer’s mark-up and mark-down on retail‑sized transactions.
Friday, 18/11/2016 | 17:17 GMT
by
Aziz Abdel-Qader
Regulation
EZTD Hit with $200K Fine over Legacy Issues
The binary options provider has been fined by the SEC for operating in the US.
Thursday, 10/11/2016 | 22:21 GMT
by
Jeff Patterson
Regulation
Bank Leumi to Pay $1.6 Million for Illegal US Cross-Border Business
Bank Leumi provided investment advice and securities transactions without being registered.
Wednesday, 19/10/2016 | 07:20 GMT
by
Finance Magnates Staff
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Regulation
SEC Imposes $50K Penalty on Firm for Offering Fantasy Stock Trading Game
Forcerank has been fined for offering an unregistered swap 'Stock Picking' game in violation of federal securities laws.
Friday, 14/10/2016 | 06:55 GMT
by
Finance Magnates Staff
Regulation
SEC Fines Artis Hedge Fund Over $9 Million for Insider Trading Scheme
Artis is well known for having co-invested in financing YouTube, before it was sold to Google for $1.65 billion.
Thursday, 13/10/2016 | 18:12 GMT
by
Aziz Abdel-Qader
Regulation
SEC Fines Deutsche Bank $9.5M After Improperly Disclosing Equity Research
Following the leaking of equity research, the regulator fined Deutsche Bank Securities $9.5M.
Wednesday, 12/10/2016 | 19:24 GMT
by
Jeff Patterson
Executive Moves
SEC Promotes Jane Norberg to Head Office of the Whistleblower
The whistleblower office has reviewed more than 14,000 tips and awarded approximately $85 million to over 30 whistleblowers.
Wednesday, 28/09/2016 | 20:51 GMT
by
Aziz Abdel-Qader
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