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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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April 4, 2012
U.S. District Judge Jed Rakoff doesn’t shy away from high-profile fights.
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By Thom Weidlich, Bloomberg |
March 16, 2012
The U.S. Securities and Exchange Commission and Citigroup Inc. won a delay in the trial of a lawsuit the agency brought against the bank while an appeals court considers a judge’s refusal to approve their $285 million settlement.
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By Press Release |
December 16, 2011
The SEC today charged six former top executives of Fannie Mae and Freddie Mac with securities fraud
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By Press Release |
November 16, 2011
The Securities and Exchange Commission today charged MSIM with violating securities laws in a fee arrangement that repeatedly charged a fund for advisory services they weren’t actually receiving from a third party
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By Press Release |
November 9, 2011
The Securities and Exchange Commission obtained a record financial penalty of more than $92.8 million against billionaire hedge fund manager Raj Rajaratnam for widespread insider trading.
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By Press Release |
October 24, 2011
New York-based Pipeline is an SEC-registered alternative trading system, which trades securities outside of traditional exchanges. But the SEC wasn't happy with one way Pipeline was conducting business.
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By Press Release |
October 19, 2011
The SEC charged Citigroup’s principal U.S. broker-dealer subsidiary with misleading investors about a $1 billion CDO tied to the U.S. housing market in which Citigroup bet against investors as the housing market showed signs of distress
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By Press Release |
October 13, 2011
The regulator says the exchanges are guilty of violations of U.S. securities laws arising out of weak internal controls that resulted in millions of dollars in trading losses and a systems outage.
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By Press Release |
September 28, 2011
The SEC alleges that Corey Ribotsky and his firm The NIR Group LLC repeatedly lied to investors to hide the truth that his PIPE investment and trading strategy was failing during the financial crisis.
