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.
The U.S. Securities and Exchange Commission (SEC) Thursday announced that Israeli-based EZTD Inc. must pay more than $1.7 million for misleading investors into trading binary options online, warning that other firms may be out there actively trying to do the same thing.
The U.S. Securities and Exchange Commission (SEC) Wednesday said it was charging a former movie producer and self-proclaimed private equity executive with defrauding investors in hedge funds and using the money to support his “extravagant lifestyle.”
The U.S. Securities and Exchange Commission (SEC) Monday charged two managing members of NewMarket Technology Fund and NewMarket Global Management with looting NewMarket Technology Fund and its Software Company to enrich themselves at the expense of the fund and its investors.
Despite fears of rising costs and fewer insurers on the health law’s marketplaces, consumers can find the best deals by carefully evaluating plans and checking out the fine print.