Category: SEC
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SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
The Securities and Exchange Commission today charged Talimco LLC, a registered investment adviser, and Grant Gardner Rogers, the former chief operating officer of the firm, with manipulating the auction of...
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SEC Names Vanessa Countryman Acting Secretary
The Securities and Exchange Commission today announced that Vanessa Countryman has been named Acting Secretary. Ms. Countryman will replace Brent Fields, who is stepping down as Secretary effective March 11,...
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SEC Charges Cognizant and Two Former Executives With FCPA Violations
Cognizant Technology Solutions Corporation has agreed to pay $25 million to settle charges that it violated the Foreign Corrupt Practices Act (FCPA), and two of the company’s former executives were...
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SEC Investor Advisory Committee to Meet on December 13
The Securities and Exchange Commission will hold a meeting of its Investor Advisory Committee on Dec. 13, 2018. The meeting will begin at 9 a.m. ET in the Multipurpose Room...
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SEC Charges Family Friend of Former Investment Banker With Insider Trading
The Securities and Exchange Commission today charged an IT professional in Texas who allegedly participated in an insider trading scheme perpetrated by a former Wall Street investment banking analyst. The...
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SEC Announces 2018 Government-Business Forum to Be Held at The Ohio State University
The Securities and Exchange Commission today announced it is partnering with the National Center for the Middle Market at The Ohio State University Max M. Fisher College of Business to...
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SEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station
The Securities and Exchange Commission today charged a Virginia real estate developer with skimming investor funds that were intended for use in purchasing an office building near the site of...
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SEC Charges U.S. Congressman and Others With Insider Trading
The Securities and Exchange Commission today announced the filing of insider trading charges against Congressman Christopher Collins, the U.S. Representative for New York’s 27th Congressional District, his son, Cameron Collins,...
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SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciting entities, four...
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SEC Charges Recidivist in Stock Manipulation Scheme
The Securities and Exchange Commission today charged Howard M. Appel with manipulating the stocks of three microcap companies while on supervised release following his criminal conviction for a prior securities...