U.S. Securities And Exchange Commission
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Recent News About U.S. Securities And Exchange Commission
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Dec. 19 that Virginia-based NeuStar Inc. has agreed to pay $180,000 to settle allegations involving severance agreements that forbade whistleblowing.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Dec. 16 that it has barred several market participants from the penny stock industry for their roles in alleged sham initial public offerings (IPOs) of microcap stocks that defrauded investors.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Dec. 20 that Morgan Stanley & Co. LLC has agreed to pay $7.5 million after allegations it used trades involving customer cash to lower the firm’s borrowing costs in violation of the SEC’s Customer Protection Rule.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Dec. 16 that it settled cease-and-desist proceedings against the CEO of Wilson-Davis & Co., a Utah-based broker-dealer for alleged violations of SEC market structure rules.
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WASHINGTON (Legal Newsline) – The Securities and Exchange Commission (SEC) announced charges Dec. 21 against two men behind an allegedly phony day-trading firm that pocketed more than $1.4 million in deposits from defrauded investors across the globe.
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WASHINGTON (Legal Newsline) – The Securities and Exchange Commission (SEC) announced fraud charges Dec. 21 against Navnoor Kang, the director of fixed income for the New York State Common Retirement Fund from January 2014 to February 2016, over allegations of orchestrating a pay-to-play scheme.
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WASHINGTON (Legal Newsline) – The Securities and Exchange Commission (SEC) announced Dec. 21 that Braskem S.A., a Brazil-based petrochemical manufacturer whose stock trades in the U.S. Markets, agreed to settle allegations of creating false books and records.
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WASHINGTON (Legal Newsline) – The Securities and Exchange Commission (SEC) announced Dec. 20 that Oklahoma City-based SandRidge Energy Inc. agreed to settle allegations of using illegal separation agreements and retaliating against a whistleblower.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Dec. 16 that Deutsche Bank will settle allegations it misled clients about the performance of a core feature of its automated order router that primarily sent client orders to dark pools.
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WASHINGTON (Legal Newsline) – The Securities and Exchange Commission (SEC) announced charges Dec. 12 against New Jersey-based traders Joseph Taub and Elazar Shmalo for allegedly manipulating more than 2,000 NYSE- and NASDAQ-traded stocks and gaining roughly $26 million in profits from successful trades.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Dec. 6 that Equidate Inc. has agreed to settle allegations of violating federal securities laws.
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WASHINGTON (Legal Newsline) – The Securities and Exchange Commission (SEC) announced Dec. 2 that United Airlines’ parent company will pay $2.4 million to resolve allegations that shareholders had to foot the bill for a public official securing convenient flights.
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WASHINGTON (Legal Newsline) – The Securities and Exchange Commission (SEC) announced Dec. 5 that it has filed insider trading charges against Jonathan Ly, an Expedia employee, for allegations of hacking senior executives in order to trade on company secrets.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced fraud charges and an asset freeze Dec. 1 against Onix Capital LLC, an asset management company based in Miami Beach, Florida, and owner Alberto Chang-Rajii, a Chilean national who fled the country early this year.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Nov. 9 it has charged David R. Bergstein of Hidden Hills, California, with defrauding investors.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Nov. 10 EZTD Inc.
has been ordered to pay more than $1.7 million over allegations of misleading investors into
trading binary options over the internet.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced Nov. 14 that Chairwoman Mary Jo White will step down at the end of the Obama administration.
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WASHINGTON D.C. — The Securities and Exchange Commission (SEC) has closed its first case citing a whistleblower anti-retaliation mechanism without including securities-based charges.
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LAS VEGAS (Legal Newsline) — A $20 million lawsuit involving a pharmaceutical company and the investment firm with a stake in the company is a battle for control, a University of Toledo professor says.
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WASHINGTON (Legal Newsline) — The Securities and Exchange Commission (SEC) announced a settlement this week with the U.S. Department of Justice and Brazilian authorities that requires Embraer SA, an aircraft manufacturer, to pay $205 million for Foreign Corrupt Practices Act (FCPA) violation allegations.