- Thu, 18 Dec 2014 21:02:08 +0000: Ex-State Street executives to appeal SEC ruling in crisis-era case - Reuters - "SEC Enforcement Division" - Google NewsEx-State Street executives to appeal SEC ruling in crisis-era case
The SEC's enforcement division appealed the ruling before the SEC's commissioners in the case and oral arguments were heard in July. In Monday's ruling to partially reverse Murray's decision, the two Republican commissioners, Michael Piwowar and ...
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- Wed, 17 Dec 2014 03:01:48 +0000: SEC accuses financial adviser of penny-stock infractions - azcentral.com - "SEC Enforcement Division" - Google News
azcentral.comSEC accuses financial adviser of penny-stock infractions
The SEC's Enforcement Division alleged Tuesday that after the unidentified company hired his firm to assist in two private-placement stock offerings, Pollack repeatedly engaged in wash trading to make it appear the stock was actively traded. Wash ...
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- Tue, 16 Dec 2014 22:11:58 +0000: SEC Announces Charges Against Owner of Equity Research Firm Accused of ... - Newsroom America - "SEC Enforcement Division" - Google NewsSEC Announces Charges Against Owner of Equity Research Firm Accused of ...
The SEC Enforcement Division alleges that after a company hired his firm to assist in two private placement offerings, Paul Pollack repeatedly engaged in wash trading, which involves the simultaneous or near-simultaneous purchase and sale of a security ...
- Mon, 15 Dec 2014 23:33:46 +0000: SEC Drops Insider Trading Case Related To Herbalife Ltd. (HLF) - ValueWalk - "SEC Enforcement Division" - Google News
ReutersSEC Drops Insider Trading Case Related To Herbalife Ltd. (HLF)
Herbalife Ltd. – SEC enforcement division did the right thing. Peixoto's legal counsel commented that the decision of the SEC to drop the case was “a tremendous victory for the rule of law.” Attorney Derrelle M. Janey said, “There were significant ...
US SEC says dropping insider trading case related to Herbalife
Charges Dropped After Insider-Trading Ruling
Wall Street Journal all 26 news articles »
- Mon, 15 Dec 2014 01:33:21 +0000: Meet the SEC's Brainy New Crime Fighters - Wall Street Journal - "SEC Enforcement Division" - Google News
Wall Street JournalMeet the SEC's Brainy New Crime Fighters
Wall Street Journal
Lori Walsh, left, chief of the Securities and Exchange Commission Enforcement Division's Center for Risk and Quantitative Analysis, with Howard Kaplan, a data analyst in the SEC's enforcement division, in Washington. T.J. Kirkpatrick for The Wall ...