US Securities and Exchange Commission was created in 1929 after the stock market crash to enforce laws against market manipulation. The SEC enforces the Securities Exchange Act of 1933, Trust Indenture Act of 1939, Investment Advisors Act of 1940, Sarbanes-Oxley Act of 2002, and many other statutes. Section 4 of the Securities Exchange Act of 1934 helped create the agency. The most commonly used Category will be “Business.” The most commonly used tags are Fraud, Arrest, and Federal Prison.
SEC Charges Advisory Firm Macquarie Investment Management Business Trust with Fraud. Macquarie Investment Management to pay nearly $80…
SEC Charges Former Finance Director Nicholas Bowerman at CIRCOR International with Accounting Fraud. The company settled the SEC’s…
SEC Charges Esmark Inc. and Chairman James Bouchard with Announcing False Tender Offer to Purchase U.S. Steel Corp.…
SEC Charges Creative Legal Fundings CEO Maria Dickerson with Operating Multimillion Dollar Ponzi Scheme that Targeted Filipino-American Community.…
SEC Charges Nationwide Planning Associates and Two Affiliated Investment Advisers with Violating Whistleblower Protection Rule NJ-based firms, Nationwide…
SEC Charges Six Credit Rating Agencies with Significant Recordkeeping Failures. Six credit rating agencies admit wrongdoing and agree…
SEC Charges U.S. Navy Shipbuilder Austal USA with Accounting Fraud Australian parent company Austal Limited was also charged…
SEC Charges Silvergate Capital, Former CEO, Alan Lane, for Misleading Investors About Compliance Program The former Chief Risk…
SEC Charges Former Arista Networks Chairman Andy Bechtolsheim, aka Andreas "Andy" Bechtolsheim, with Insider Trading. Washington D.C. (STL.News)…
Genesis Global Capital to Pay $21M Civil Penalty and Imposing a Permanent Injunction to Settle Charles. Washington D.C.…
Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures. The Huntington…
SEC Adopts Amendments to Enhance Private Fund Reporting Expanding its Oversight. Washington D.C. (STL.News) Private Fund Reporting -…
