- Six Federal Agencies Jointly Approve Final Risk Retention Rule October 22, 2014JOINT RELEASE Board of Governors of the Federal Reserve System Department of Housing and Urban Development Federal Deposit Insurance Corporation Federal Housing Finance Agency Office of Comptroller of the Currency Securities and Exchange Commission Joint Release Board of Governors of the Federal Reserve System Department of Housing and Urban Developme […]
- Office of Municipal Securities Director John Cross to Leave SEC October 21, 2014The Securities and Exchange Commission today announced that John J. Cross III, Director of the Office of Municipal Securities, will leave the agency in November. Since September 2012, Mr. Cross has served as the first Director of the Office of Municipal Securities, which was established under the Dodd-Frank Act to oversee the municipal securities market. Th […]
- SEC Names Marc Wyatt as Deputy Director of National Exam Program October 20, 2014The Securities and Exchange Commission today announced that Marc Wyatt has been named Deputy Director of the agency's Office of Compliance Inspections and Examinations (OCIE). Mr. Wyatt joined the SEC in December 2012 as a senior specialized examiner focused on examinations of advisers to hedge funds and private equity funds. He also is the national co […]
- Availability of Staff Analysis on Reporting and Dissemination of Security-Based Swap Information October 17, 2014The staff of the Securities and Exchange Commission today made available analyses of data on the reporting and dissemination of security-based swap transaction information. The analyses are posted on the SEC’s website as part of the comment file for rules proposed by the SEC in November 2010, and re-proposed in May 2013, on the reporting and dissemination o […]
- SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds October 17, 2014The Securities and Exchange Commission today charged the operator of an online stock recommendation business with conducting several fraudulent securities offerings and siphoning some of the money raised from investors for a Caribbean vacation and plastic surgery. An SEC investigation found that Anthony Coronati, who lives on Staten Island, initially held hi […]
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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