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By Press Release |
September 22, 2011
The CFTC says AXA Rosenberg concealed a significant error in the computer code of the quantitative investment model that managed client assets.
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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 |
August 31, 2011
The SEC received court approval to freeze the assets of a Chicago-area quantitative hedge fund startup for lying to prospective investors
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By Press Release |
August 12, 2011
The SEC launched a new webpage for people to report a violation of the federal securities laws and apply for a financial award.
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By Press Release |
August 10, 2011
The Securities and Exchange Commission charged Stifel, Nicolaus & Co. with defrauding five Wisconsin school districts by selling them "unsuitably risky and complex investments."
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By Press Release |
July 7, 2011
The SEC says JP Morgan rigged at least 93 municipal bond reinvestment transactions in 31 states, generating millions of dollars in ill-gotten gains.
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By Press Release |
June 7, 2011
SEC suspends trading in 17 companies in proactive effort to combat microcap stock fraud
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By Press Release |
May 26, 2011
The SEC says Donald L. Johnson stoke confidential information while working in a market intelligence unit.
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By Press Release |
March 28, 2011
The regulator says a Connecticut-based fund manager tried to divert to himself and others settlement funds intended for U.S. victims of a Ponzi scheme.
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By Press Release |
March 15, 2011
The SEC alleges that Eugenio Verzili and Arturo Rodriguez through their firm Juno Mother Earth Asset Management LLC misappropriated client assets.
