Category Archives: Securities and Exchange Commission

Citigroup Paying $18 Million for Over-billing Clients

FOR IMMEDIATE RELEASE 2017-35 Washington D.C., Jan. 26, 2017 —The Securities and Exchange Commission today [...]

27
Jan
Citigroup Paying $18 Million for Over-billing Clients

FOR IMMEDIATE RELEASE 2017-35 Washington D.C., Jan. 26, 2017 —The Securities and Exchange Commission today [...]

27
Jan
SEC Charges Two Former Och-Ziff Executives With FCPA Violations

FOR IMMEDIATE RELEASE 2017-34 Washington D.C., Jan. 26, 2017 —The Securities and Exchange Commission today [...]

27
Jan
SEC Charges Two Former Och-Ziff Executives With FCPA Violations

FOR IMMEDIATE RELEASE 2017-34 Washington D.C., Jan. 26, 2017 —The Securities and Exchange Commission today [...]

27
Jan
SEC Charges Two Former Och-Ziff Executives With FCPA Violations

FOR IMMEDIATE RELEASE 2017-34 Washington D.C., Jan. 26, 2017 —The Securities and Exchange Commission today [...]

27
Jan
Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme

FOR IMMEDIATE RELEASE 2017-33 Washington D.C., Jan. 25, 2017 —The Securities and Exchange Commission today [...]

27
Jan
Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme

FOR IMMEDIATE RELEASE 2017-33 Washington D.C., Jan. 25, 2017 —The Securities and Exchange Commission today [...]

27
Jan
Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme

FOR IMMEDIATE RELEASE 2017-33 Washington D.C., Jan. 25, 2017 —The Securities and Exchange Commission today [...]

27
Jan
SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It

Washington D.C., Jan. 25, 2017 —The Securities and Exchange Commission today announced that a Massachusetts-based [...]

26
Jan
SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It

Washington D.C., Jan. 25, 2017 —The Securities and Exchange Commission today announced that a Massachusetts-based [...]

26
Jan