- SEC Charges Two Information Technology Executives With Mischaracterizing Resale Transactions to Increase Revenue August 28, 2014The Securities and Exchange Commission today charged two executives at a Dallas-based information technology company with mischaracterizing an arrangement with an equipment manufacturer to purport that it was conducting so-called “resale transactions” to inflate the company’s reported revenue. An SEC investigation found that then-CEO Lynn R. Blodgett and the […]
- SEC Adopts Credit Rating Agency Reform Rules August 27, 2014The Securities and Exchange Commission today adopted new requirements for credit rating agencies to enhance governance, protect against conflicts of interest, and increase transparency to improve the quality of credit ratings and increase credit rating agency accountability. The new rules and amendments, which implement 14 rulemaking requirements under the […]
- SEC Adopts Asset-Backed Securities Reform Rules August 27, 2014The Securities and Exchange Commission today adopted revisions to rules governing the disclosure, reporting, and offering process for asset-backed securities (ABS) to enhance transparency, better protect investors, and facilitate capital formation in the securitization market. The new rules, among other things, require loan-level disclosure for certain asset […]
- SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companies August 26, 2014The Securities and Exchange Commission today announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) filed a proposal to establish a national market system plan to implement a targeted 12-month pilot program that will widen minimum quoting and trading increments (tick sizes) for certain stocks with smaller cap […]
- SEC Charges Investor Relations Firm Executive With Insider Trading Ahead of News Announcements By Clients August 26, 2014The Securities and Exchange Commission today charged a director of market intelligence at a Manhattan-based investor relations firm with insider trading ahead of impending news announcements by more than a dozen clients. The charges were filed against Michael Anthony Dupre Lucarelli, who garnered nearly $1 million in illicit profits. An SEC investigation an […]
Stock Fraud Blog (Latest)
FORT LAUDERDALE, Florida–(BUSINESS WIRE)–Soreide Law Group ha presentado demandas en nombre de los inversores que adquirieron fondos de bonos po...
The Securities and Exchange Commission (SEC) charged former JP Turner and Company, LLC, of Atlanta, broker Jason Konner for churning client...
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