The U.S. Securities and Exchange Commission (SEC) Monday announced fraud charges and an emergency asset freeze obtained against a South Carolina businessman accused of misappropriating funds he raised from investors.
A Connecticut-based investment adviser has agreed to admit wrongdoing and pay more than $575,000 to settle the U.S. Securities and Exchange Commission’s (SEC) charges that he defrauded a client and attempted to mislead SEC investigators.
A new poll shows that GOP lawmakers’ strategy lacks widespread support and most people are more concerned that health care is affordable and available.
The U.S. Securities and Exchange Commission (SEC) Tuesdaycharged a California-based attorney with defrauding investors seeking to participate in the EB-5 immigrant investor program.
Deutsche Bank has agreed to pay $37 million to settle federal and state charges that it misled clients about the performance of its automated order router that primarily sent client orders to dark pools.
The U.S. Securities and Exchange Commission (SEC) Wednesday said it is charging an investment adviser and broker representative Richard G. Cody with defrauding his retired clients.
Many consumers find that doctors listed in their plan’s directories aren’t accepting new patients, charge large concierge fees or may not even be in the network. Regulators don’t check.
U.S. investment management firm Pacific Investment Management Company (PIMCO) has agreed to pay nearly $20 million to settle the U.S. Securities and Exchange Commission’s (SEC) charges that it misled investors about the performance of one its exchange-traded funds (ETFs) and failed to accurately value certain fund securities.
American multinational bank JPMorgan Chase has agreed to pay more than $130 million to settle the U.S. Securities and Exchange Commission’s (SEC) charges that it gave jobs and internships to friends and relatives of Chinese government officials to win business in violation of foreign anti-bribery laws.
The U.S. Securities and Exchange Commission (SEC) Monday announced an award of more than $20 million to an unidentified tipster who provided quick valuable information that enabled the commission to immediately initiate an enforcement action against wrongdoers before they could squander the money.