News: Amelia Cottrell Named Associate Regional Director for Enforcement in New York Office

5 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE2013-112 Washington, D.C., June 14, 2013 — The Securities and Exchange Commission today announced the promotion of Amelia A. Cottrell to Ass...

News: Goffer Brother Strikes SEC Deal

6 days ago - FINalternatives

The brother of alleged insider-trading mastermind Zvi Goffer has settled with the Securities and Exchange Commission, two years after his criminal conviction on related charge...

Blog: Goffer Brother Strikes SEC Deal

FINalternatives 6 days ago

News: SEC Announces More Charges In Massive Kickback Scheme To Secure Business Of Venezuelan Bank

7 days ago - News Articles

The Securities and Exchange Commission today charged the former head of the Miami office at brokerage firm Direct Access Partners (DAP) for his role in a massive kickback sche...

News: SEC Announces More Charges in Massive Kickback Scheme to Secure Business of Venezuelan Bank

7 days ago - SEC.gov Updates: Press Releases

FOR IMMEDIATE RELEASE2013-109 Washington, D.C., June 12, 2013 — The Securities and Exchange Commission today charged the former head of the Miami office at broke...

News: Predatory, Psychotic Private Capital Protected By The Washington Mafia Loots The World

8 days ago - Rantings on Markets, Economics and Business Strategy

The scams and schemes of the corporate state are endless.  There is literally no viable way to quantify the known and unknown impacts on our society and the world.  ...

News: Summary of Selected Sessions from "The SEC Speaks in 2013"

9 days ago - Emerald | Journal of Investment Compliance | Table of Contents

AbstractPurpose - To summarize the remarks of the Commissioners and participants in several panel sessions and workshops during the 2013 annual "SEC Speaks" conference held by...

News: Summary of Selected Sessions from "The SEC Speaks in 2013"

9 days ago - Emerald | Journal of Investment Compliance | Table of Contents

AbstractPurpose - To summarize the remarks of the Commissioners and participants in several panel sessions and workshops during the 2013 annual "SEC Speaks" conference held by...

News: SEC Charges Whittier Trust And Fund Manager In Insider Trading Investigation Into Expert Networks

12 days ago - News Articles

The Securities and Exchange Commission today charged a South Pasadena, Calif.-based wealth management company and a former fund manager with insider trading on non-public info...

News: Remarks At The SEC Historical Society Annual Meeting By SEC Commissioner Elisse B. Walter

13 days ago - News Articles

Good afternoon, it's a pleasure to be with you today. I want to begin by saying "thank you" to President Bruce Bennett and Carla Rosati for their work helping the SEC Historic...