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By Joshua Gallu, Bloomberg |
February 8, 2013
The U.S. Securities and Exchange Commission sued a Chicago man over claims he fraudulently raised more than $145 million primarily from Chinese investors by promising that their investments would provide a pathway to U.S. citizenship.
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By Joshua Gallu, Bloomberg |
September 27, 2012
Goldman Sachs Group Inc. will pay about $12 million to resolve U.S. regulatory claims that a former banker made improper campaign contributions to the state treasurer of Massachusetts while seeking underwriting business from his office.
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By Joshua Gallu, Bloomberg |
September 18, 2012
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By Joshua Gallu, Bloomberg |
May 24, 2012
U.S. Securities and Exchange Commission investigators have concluded their probe of possible financial fraud at Lehman Brothers Holdings Inc. and determined that they will probably not recommend any enforcement action against the firm or its former executives.
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By Joshua Gallu, Bloomberg |
April 16, 2012
optionsXpress Inc., the Chicago brokerage acquired by Charles Schwab Corp. last year, was accused by U.S. regulators of using sham “reset” transactions as part of an abusive naked short-selling scheme.
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By Joshua Gallu, Bloomberg |
March 31, 2012
The SEC is considering extending enforcement actions in cases involving complex financial transactions to lawyers providing advice.
