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By News story |
June 11, 2013
In a double boogie, the SEC fined both optionsXpress for illegal short trades and CBOE for regulatory failures.
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By Nikolaj Gammeltoft and Inyoung Hwang, Bloomberg |
May 29, 2013
Nasdaq OMX Group Inc. agreed to pay $10 million to settle Securities and Exchange Commission charges that its mishandling of Facebook Inc.’s initial public offering last year was a violation of securities laws.
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By Press Release |
April 15, 2013
The SEC charged a prominent Denver-based businessman with insider trading based on information he obtained from the CEO of an oil and gas company.
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By Press Release |
November 20, 2012
In the largest insider trading case ever charged by the SEC, the regulator accuses Stamford, Conn.-based CR Intrinsic investors LLC in $276 million scheme.
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By Press Release |
September 14, 2012
The SEC brought first-of-its-kind charges against the New York Stock Exchange for compliance failures that gave certain customers an improper head start on trading information.
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By Press Release |
September 22, 2011
The SEC’s Division of Enforcement alleges that Spencer D. Mindlin obtained non-public details about Goldman’s plans to purchase and sell large amounts of SPDR ETFs.
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By Press Release |
April 25, 2011
The SEC alleged that Juan Garcia traded on insider information regarding a multi-billion dollar cash tender offer by BHP Billiton Plc to acquire Potash Corp. of Saskatchewan Inc.
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By Press Release |
August 24, 2010
SEC says two Spanish traders made $1.1 million off insider info on BHP Billiton offer for Potash Corp.
