- Wed, 26 Nov 2014 20:29:08 +0000: Hall of fails: National Underwriter's 2014 Rogue's Gallery - LifeHealthPro - "SEC Enforcement Division" - Google News
LifeHealthProHall of fails: National Underwriter's 2014 Rogue's Gallery
The SEC's Enforcement Division alleges that “Horowitz, anticipating that a patient would soon die, sold VA contracts with death benefits and bonus credit features to wealthy investors, designating the terminally ill patients as annuitants and marketing ...
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- Thu, 20 Nov 2014 23:01:59 +0000: Wedbush to pay $2.44 mln to settle SEC market access charges - Reuters - "SEC Enforcement Division" - Google News
ThinkAdvisorWedbush to pay $2.44 mln to settle SEC market access charges
"Wedbush acknowledges that it granted access to thousands of overseas traders without having appropriate safeguards in place," said Andrew Ceresney, director of the SEC's Enforcement Division. The brokerage, which is one of the largest by trading ...
SEC Fines Wedbush $2.4M in Market Access Case; FINRA Complaint on Deck
Trading firm Wedbush to pay $2.4 million to settle SEC case; two employees are ...
Wedbush Admits It Failed to Supervise Clients' Trades
Bloomberg Newsroom America all 20 news articles »
- Thu, 20 Nov 2014 20:47:53 +0000: SEC halts trading in Ebola-related companies, two in Southern California - Los Angeles Times - "SEC Enforcement Division" - Google News
OC WeeklySEC halts trading in Ebola-related companies, two in Southern California
Los Angeles Times
“We move quickly to protect investors when we see thinly-traded stocks being promoted with questionable information that make them ripe for pump-and-dump schemes,” said Elisha Frank, co-chair of the SEC Enforcement Division's Microcap Fraud Task ...
SEC warns investors of Ebola stock scams
The Hill all 63 news articles »
- Wed, 19 Nov 2014 16:59:21 +0000: Tweet, Tweet: The SEC Gets Social - JD Supra (press release) - "SEC Enforcement Division" - Google NewsTweet, Tweet: The SEC Gets Social
JD Supra (press release)
This alert came just days after the SEC's Enforcement Division announced charges against two India-based operators of a purported alleged high-yield investment scheme that allegedly sought to exploit investors through pitches made on Facebook, YouTube ...
US charges two Indians with conning investors with social media
Daijiworld.com all 9 news articles »
- Mon, 17 Nov 2014 15:43:26 +0000: SEC to Use Administrative Cases More, Despite Defense Bar Complaints ... - Bloomberg BNA - "SEC Enforcement Division" - Google NewsSEC to Use Administrative Cases More, Despite Defense Bar Complaints ...
7 in New York, SEC Enforcement Division Director Andrew Ceresney said the SEC plans to increase the use of administrative proceedings to resolve enforcement cases despite perceptions from the defense bar that the internal proceedings are more ...