SEC's Division of Enforcement

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  NYSE charged with giving some customers head start on market data

  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.

• SEC charges former Fannie Mae and Freddie Mac executives with securities fraud

  By Press Release  |  December 16, 2011

  The SEC today charged six former top executives of Fannie Mae and Freddie Mac with securities fraud

• SEC charges Morgan Stanley Investment Management for improper fee arrangement

  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

• SEC obtains $92.8 million penalty against Raj Rajaratnam

  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.

• SEC orders FINRA to improve internal compliance policies and procedures

  By Press Release  |  October 27, 2011

  The SEC today ordered FINRA to hire an independent consultant and undertake other remedial measures to improve its policies, procedures, and training

• SEC brings new insider trading charges against Raj Rajaratnam

  By Press Release  |  October 26, 2011

  SEC brings new insider trading charges against Raj Rajaratnam

• Citigroup pays $285 million to settle SEC charges over CDO tied to housing market

  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

• SEC sanctions Direct Edge Electronic Exchanges

  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.

• Long Island hedge fund manager stole $1M: SEC

  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.

• RBC Capital Markets sold unsuitable CDO investments to schools: SEC

  By Press Release  |  September 27, 2011

  The Securities and Exchange Commission charged RBC Capital Markets LLC for selling unsuitable investments to five Wisconsin school districts.