- Fee Rate Advisory #2 for Fiscal Year 2015 September 30, 2014When fiscal year 2015 starts on October 1, 2014, the Securities and Exchange Commission expects to be operating under a continuing resolution that will extend until December 11, 2014. Accordingly, the fees paid under Section 31 of the Securities Exchange Act will remain at their current rate until 60 days after the enactment of a regular appropriation for t […]
- SEC Charges Two with Insider Trading on Pershing Square’s Announcement on Herbalife September 30, 2014The Securities and Exchange Commission today announced charges against two individuals for insider trading on a prominent hedge fund manager’s announcement that his hedge fund had formed a negative view of Herbalife Ltd. and taken a $1 billion short position in its securities. The SEC’s orders find that Filip Szymik of New York City and Jordan Peixoto of To […]
- Two Former Wells Fargo Employees Charged With Insider Trading in Advance of Research Reports Containing Ratings Changes September 29, 2014The Securities and Exchange Commission today announced insider trading charges against two former Wells Fargo employees involved in an alleged scheme to profit by buying or short selling a stock before research analyst reports were published containing a ratings change. Research analysts typically produce reports with a recommendation or rating of a stock or […]
- SEC Charges Bank of America With Securities Laws Violations in Connection With Regulatory Capital Overstatements September 29, 2014The Securities and Exchange Commission today charged Bank of America Corporation with violating internal controls and recordkeeping provisions of the federal securities laws after it assumed a large portfolio of structured notes and other financial instruments as part of its acquisition of Merrill Lynch. Bank of America agreed to pay a $7.65 million penalty […]
- SEC Charges Two Florida Men With Defrauding Investors in Purported Television Network September 29, 2014The Securities and Exchange Commission today announced charges against two Florida men for defrauding investors in a purported startup television network and production company by providing false information about its revenues and future prospects, including that former basketball star Michael Jordan planned to invest in the company. The SEC alleges that Vis […]
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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