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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
Moneta Markets Founder and CEO Launches Moneta Funded, a
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
Moneta Markets Founder and CEO Launches Moneta Funded, a
Thought Leadership
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Executive Moves
SEC's Office of the Whistleblower Chief Sean McKessy to Step Down in July
2016-07-08T21:25:22.000+02:00
The Head of the SEC's Whistleblower Office, Sean McKessy, is slated to step down.
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Executive Moves
SEC Names New Co-Chief Of Asset Management Unit
2016-06-29T14:40:18.000+02:00
SEC named O’Riordan as a new co-chief in the Enforcement Division to succeed Marshall Sprung, who left the agency in April.
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Regulation
SEC Cracks Down on the ‘Frack Master’, Operator of an $80m Racket
2016-06-24T21:17:36.000+02:00
Chris Faulkner, a.k.a. the Frack Master, was found to be at the center of a sweeping scam worth millions.
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Regulation
Merrill Lynch Fined $425m For Misleading Investors and Misusing Assets
2016-06-24T01:57:05.000+02:00
SEC and FINRA launched a crackdown on Merrill Lynch which will pay more than $400 million to settle several violations.
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Aziz Abdel-Qader
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Regulation
SEC Sues UK Trader Over Hacking Accounts to Pump and Dump Stocks
2016-06-23T09:14:00.000+02:00
Idris Dayo Mustapha's assets frozen by SEC amid complaint over a trading scheme.
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News
An "Anonymous Collective" Complains to the SEC Over DAO Hack
2016-06-22T16:27:08.000+02:00
Could the Ethereum Foundation, Slock.it or others be held liable for the losses of the DAO?
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Regulation
Former Football Star Among Athletes Duped out of $30m in Ponzi-Like Scheme
2016-06-22T14:13:31.000+02:00
Narayan gained the athletes' trust through their charitable interests and hid multiple conflicts of interest from investors.
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Finance Magnates Staff
Institutional FX
The $541 Million Loss that Became a Thorn in the Side of Deutsche Bank
2016-06-22T11:37:40.000+02:00
Deutsche Bank which has been repeatedly rocked by scandals is facing one of the most turbulent transformations in its history.
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Regulation
SEC Stops Scheme Defrauding Athletes Dead in its Tracks
2016-06-22T09:16:56.000+02:00
The SEC has charged an investment adviser with secretly siphoning millions of dollars from accounts he managed for athletes.
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Exchanges
SEC Approves IEX as National Securities Exchange with its Speed Bump Model
2016-06-20T08:24:55.000+02:00
IEX becomes 13th National Stock Market in US as SEC approves its speed bump.
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Institutional FX
What Gets a Banker's Email Flagged at Goldman Sachs: CNBC
2016-06-17T13:19:39.000+02:00
CNBC has obtained a document detailing more than 180 phrases flagged by Goldman Sachs for scrutiny.
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Regulation
SEC Charges Hedge Fund Managers in $32m Insider Trading Scheme
2016-06-15T18:48:20.000+02:00
Sanjay Valvani reaped unlawful profits by insider trading on tips he received from a former government official.
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Crowd Funding
OTC Markets Petitions SEC to Expand Online Capital Raising to Reporting Firms
2016-06-10T22:25:42.000+02:00
OTC Markets files petition to expand regulation A+ to SEC-reporting firms.
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Regulation
SEC’s Leans on Whistleblower in Deutsche Bank Securities Probe
2016-06-10T11:01:56.000+02:00
The SEC is being aided by a whistleblower who helped bring to light allegations of Deutsche Bank's mortgage bond endeavors.
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Regulation
SEC Offers $17m Whistleblower Reward in Bid to Curb Illicit Activity
2016-06-09T20:03:16.000+02:00
The SEC has offered a $17m reward for any individual helping provide tangible assistance or tips to an investigation.
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Regulation
SEC Charges Trader For Defrauding Investors and Hiding $16 Million Losses
2016-06-03T10:00:23.000+02:00
The SEC is seeking a permanent injunction and the return of alleged ill-gotten gains for Park’s fraudulent trading activities.
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Regulation
Wall Street Broker AF&Co Settles for $300,000 with SEC over SAR filings
2016-06-02T07:55:27.000+02:00
SEC hits Wall Street Firm AF&Co regarding failure to file Suspicious Activity Reports.
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Regulation
SEC Charges Ponzi Scheme Operators for Luring Middle Class Investors
2016-06-01T09:20:26.000+02:00
The Ponzi scheme operators promised access to highly coveted investment opportunities typically reserved for the rich.
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Regulation
SEC Alleges Investment Adviser Delayed Losses to Earn Incentive Fees
2016-06-01T08:28:58.000+02:00
SEC charges Hope Advisers Inc. over timing trades to erroneously earn fees.
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Regulation
U.S. Brokers Well Prepared for End of SEC Retail Forex Extension Rule
2016-05-25T15:54:17.000+02:00
The Securities and Exchange Commission has adopted a temporary measure in 2013 as an interim extension till 31st of July 2016.
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Victor Golovtchenko
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Regulation
SEC: “We allege that Aly tried to fool the markets from a computer in Pakistan”
2016-05-25T08:26:15.000+02:00
SEC alleges that Nauman A. Aly made false filings that led to his now-blocked profits.
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Regulation
SEC Calls For Reporting Of Treasury Cash Market Transactions
2016-05-17T21:29:48.000+02:00
The request is aimed at safeguarding the deepest and most liquid securities market in the world.
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Regulation
Six US Agencies Propose Rule to Curb Excessive Risk for Firms with Over $1b
2016-05-16T22:08:07.000+02:00
Six agencies in the US invite the public for comment on the proposed rule.
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Execution
SEC Announces Latest Settlement for $100k in Hacked News Story
2016-05-11T10:14:30.000+02:00
Latest SEC settlement is with Oleksandr Makarov, bringing total recovered to $52 million.
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Regulation
SEC Might Be Next To Investigate Mossack Fonseca Leak
2016-04-10T16:17:17.000+02:00
The American watchdog is free to look at the exposed "Panama Papers" for possible cases of corruption.
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