SEC Wants All Investors to Access High Risk Investments.
In a startling about-face, Acting Securities and Exchange Commissioner Michael Piwowar called for...

SEC News - Stolen Funds, Ponzi Scheme, Overbilling Clients
Financial Adviser Charged With Stealing From Client Accounts An investment adviser representative...

SEC News - Internalization, Miscalculations, and FCPA Violations
Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades The SEC’s order...

SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charges
Businessman Settles Charges of Fraudulent EB-5 Offering A Florida-based businessman has agreed to...

SEC News - Misleading Investors, Whistleblower Award, Insider Trading
PIMCO Settles Charges of Misleading Investors About ETF Performance Investment management firm Pa...

SEC News - Manipulation, Fraud, and FCPA Charges
Company Co-Founder Charged in Manipulation Scheme The co-founder of a Minnesota-based energy comp...

Morgan Stanley Sweetens Recruiting Deals
 According to On Wall Street after overhauling its recruiting deals in light of new regulato...

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