Author Archives: ls-team

Trading in Securities – American Retail Group, Inc. Suspended

The Securities and Exchange Commission suspended trading in the securities of Nevada-based American Retail Group, [...]

SEC Charges Fake Filer With Manipulating Fitbit Stock

FOR IMMEDIATE RELEASE 2017-107 Washington D.C., May 19, 2017— The Securities and Exchange Commission today [...]

Improving Disclosure with Smart Data

Rick A. Fleming, Investor Advocate XBRL US Investor Forum 2016: Finding Value with Smart Data New [...]

The Markets in 2017: What’s at Stake?

Commissioner Kara M. Stein Washington, D.C. Feb. 24, 2017 Good morning.  As always, it is [...]

FINRA Promotes Marcia E. Asquith to EVP, Board and External Relations; and Jennifer Piorko Mitchell to VP, Corporate Governance

For Release: Thursday, February 9, 2017 Contact(s): Nancy Condon (202) 728-8379 Ray Pellecchia (212) 858-4387 [...]

FINRA Fines 12 Firms a Total of $14.4 Million for Failing to Protect Records From Alteration

For Release: Wednesday, December 21, 2016 Contact(s): Michelle Ong (202) 728-8464 Nancy Condon (202) 728-8379 [...]

SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency

FOR IMMEDIATE RELEASE 2017-20 Washington D.C., Jan. 18, 2017 —The Securities and Exchange Commission today [...]

PIMCO Settles Charges of Misleading Investors About ETF Performance

FOR IMMEDIATE RELEASE 2016-252 Washington D.C., Dec. 1, 2016 —The Securities and Exchange Commission today [...]

Remarks to the ALI CLE 2016 Conference on Life Insurance Products

David W. Grim, Director, Division of Investment Management Washington, D.C. Nov. 4, 2016 Good morning [...]