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Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Ramp Network to Enable USDt on TON Purchases and Withdrawals
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Ramp Network to Enable USDt on TON Purchases and Withdrawals
Thought Leadership
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Regulation
UBS to Pay $15 Million Settlement Involving Retail Sale of Complex Products
UBS sold approximately $548 million of these volatility notes to more than 8,700 retail customers.
Wednesday, 28/09/2016 | 19:43 GMT
by
Aziz Abdel-Qader
Regulation
SEC Charges Blank Cheque Company Manufacturer With Fraud
Sheldon Rose was part of a scheme to register and sell stock in blank cheque companies disguised as promising startups.
Thursday, 22/09/2016 | 08:11 GMT
by
Finance Magnates Staff
Regulation
Leon Cooperman’s Hedge Fund with $5.4b AUM Charged with Insider Trading
Omega Advisors has sent a note to clients denying the allegations and stating that “it has done nothing improper”.
Wednesday, 21/09/2016 | 16:16 GMT
by
Victor Golovtchenko
Regulation
SEC: BOK Financial to Pay $1.6m for Turning Blind Eye to Investment Scheme
A former senior VP of the bank was also charged for alleged management failures of the bank’s corporate trust department.
Monday, 12/09/2016 | 10:16 GMT
by
Finance Magnates Staff
Regulation
SEC’s Whistleblower Program Crosses $100 Million Threshold
Since its inception four years ago, the whistleblower program has been a resounding success, rewarding over $100m.
Wednesday, 31/08/2016 | 08:57 GMT
by
Jeff Patterson
Regulation
SEC Pays $22m to Whistleblower in Second-Largest Amount Ever Awarded
The award was paid to a whistleblower who helped the SEC halt a hidden fraud at the company where he worked.
Wednesday, 31/08/2016 | 07:52 GMT
by
Finance Magnates Staff
Regulation
Some US Companies Employing Whistleblower Gag Orders in Bid to Prevent Leaks
Several companies appear to have been making deals to muzzle employees that run counter to US law.
Thursday, 25/08/2016 | 14:41 GMT
by
Jeff Patterson
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Regulation
SEC Imposes $2.3m Fine on Wilbur Ross Firm for Non-Disclosure of Fees
WL Ross & Co has agreed to pay a fine to the SEC after not disclosing some of the fees it charged investors.
Thursday, 25/08/2016 | 08:08 GMT
by
Finance Magnates Staff
Regulation
SEC Orders Providence Financial to Stop Trading after UK Investors Lose £7m
The US firm has been accused of selling fraudulent securities and ordered to stop trading.
Monday, 22/08/2016 | 12:30 GMT
by
Finance Magnates Staff
Regulation
Deutsche Bank Whistleblower Explains Why He Refused Millions in SEC Award
The man who refused the third largest whistleblower award in history exposes a revolving door between Deutsche and the SEC.
Monday, 22/08/2016 | 10:50 GMT
by
Avi Mizrahi
Regulation
Hedge Fund Manager Charged in $100m Fraudulent Scheme with Terminally Ill
Lathen used the joint accounts to purchase investments and went on to redeem them early by invoking a survivor’s option.
Tuesday, 16/08/2016 | 08:53 GMT
by
Finance Magnates Staff
Regulation
SEC Charges Former Football Player For Running $10 Million Fraud
The perpetrators used the funds raised from investors to pay for personal expenses and to repay earlier investors.
Thursday, 11/08/2016 | 07:21 GMT
by
Finance Magnates Staff
Regulation
Committee on Capital Markets Regulation Seeks To Address Market Rigging
The recommendations are aimed at fixing trading problems in response to charges of a "rigged" market.
Thursday, 28/07/2016 | 16:48 GMT
by
Finance Magnates Staff
Regulation
SEC Fines RiverFront Investment $300,000 for Overcharging Clients
The firm overbilled clients on a 'wrap fees' program after trading away from the sponsoring broker.
Thursday, 14/07/2016 | 21:06 GMT
by
Aziz Abdel-Qader
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Regulation
SEC Pushes For Broker Transparency, Disclosing Client Orders Details
Recent SEC proposals have focused on broker disclosure, specifically in regard to client orders and their destination.
Wednesday, 13/07/2016 | 16:45 GMT
by
Jeff Patterson
Regulation
SEC Adds Three New Members to its Investment Advisory Committee
An Ex-SEC Chair, Harvard Law professor, and AARP Executive join the SEC Committee.
Tuesday, 12/07/2016 | 14:18 GMT
by
Steven Hatzakis
News
Watch Out Winklevoss, SolidX Partners Want Their Own Bitcoin Trust ETF
Unlike the Gemini Bitcoin Trust which shifted from Nasdaq to BATS, SolidX Partners aims for the NYSE.
Tuesday, 12/07/2016 | 11:17 GMT
by
Avi Mizrahi
Regulation
Commissioner Voices Frustration Over Delay in SEC Proposal for T+2 Settlement
Concerns arise over a delay in SEC proposal to shorten trade settlement from T+3.
Friday, 08/07/2016 | 21:21 GMT
by
Steven Hatzakis
Executive Moves
SEC's Office of the Whistleblower Chief Sean McKessy to Step Down in July
The Head of the SEC's Whistleblower Office, Sean McKessy, is slated to step down.
Friday, 08/07/2016 | 19:25 GMT
by
Steven Hatzakis
Executive Moves
SEC Names New Co-Chief Of Asset Management Unit
SEC named O’Riordan as a new co-chief in the Enforcement Division to succeed Marshall Sprung, who left the agency in April.
Wednesday, 29/06/2016 | 12:40 GMT
by
Aziz Abdel-Qader
Regulation
SEC Cracks Down on the ‘Frack Master’, Operator of an $80m Racket
Chris Faulkner, a.k.a. the Frack Master, was found to be at the center of a sweeping scam worth millions.
Friday, 24/06/2016 | 19:17 GMT
by
Jeff Patterson
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Regulation
Merrill Lynch Fined $425m For Misleading Investors and Misusing Assets
SEC and FINRA launched a crackdown on Merrill Lynch which will pay more than $400 million to settle several violations.
Thursday, 23/06/2016 | 23:57 GMT
by
Aziz Abdel-Qader
Regulation
SEC Sues UK Trader Over Hacking Accounts to Pump and Dump Stocks
Idris Dayo Mustapha's assets frozen by SEC amid complaint over a trading scheme.
Thursday, 23/06/2016 | 07:14 GMT
by
Steven Hatzakis
News
An "Anonymous Collective" Complains to the SEC Over DAO Hack
Could the Ethereum Foundation, Slock.it or others be held liable for the losses of the DAO?
Wednesday, 22/06/2016 | 14:27 GMT
by
Avi Mizrahi
Regulation
Former Football Star Among Athletes Duped out of $30m in Ponzi-Like Scheme
Narayan gained the athletes' trust through their charitable interests and hid multiple conflicts of interest from investors.
Wednesday, 22/06/2016 | 12:13 GMT
by
Finance Magnates Staff
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