Edward Jones To Pay $20M For Bond Overcharges
Edward D. Jones & Co. will pay $20 million to [...]
Whole Foods Alleged To Have Committed Securities Fraud
A lawsuit brought by a shareholder alleges that Whole Foods [...]
Nine Charged In $30M Computer Hacking, Securities Fraud
Nine alleged computer hackers were charged today for their roles [...]
SEC Slams Door On $114M Ponzi Scheme
Frederick Alan Voight of Richmond, Texas, a Houston-area businessman promising [...]
34 Defendants Charged in Multiple Microcap Securities Manipulation Schemes
The SEC charged 15 individuals and 19 entities as defendants [...]
Merrill Lynch Charged $11 Million for Using Old Data in Short Sales
Merrill Lynch was charged with using stale data when executing [...]
Accounts Frozen by SEC to Stop Fraudulent Avon Stock Manipulation
The SEC called for an emergency asset freeze on two [...]
Computer Sciences Corporation and Officers Charged with Accounting Fraud
Computer Sciences Corporation and eight former executives were charged with [...]
Former Broker, Robert K. Smith, Under Investigation
Robert Keith Smith, formerly a broker with Berthel Fisher, has [...]
Underwriting Firm Charged for Misrepresentations of China-Based Company’s Public Offering
The SEC charged a brokerage firm, Macquarie Capital Inc., for [...]
SEC Charges 36 Firms for Fraudulent Municipal Bond Offerings
The SEC filed its first enforcement actions against 36 municipal [...]
SEC Charges Financial Advisor with Stealing $20 Million from Clients
Financial advisor was accused of stealing at least $20 million [...]
SEC Freezes Ponzi-Like Scheme by Capital Fund Manager in Twitter Stock Sales
The SEC alleges a venture capital fund manager stole funds [...]
Friends of Cooper Tire Charged with Insider Trading
Two friends were charged by the SEC for wrongly profiting [...]