U.S. regulators have finally released rules that would discourage risk-taking by senior financial executives.
The SEC has announced insider trading charges against a research analyst who allegedly reaped more than $1.5 million in February through trades he made in his mother’s brokerage account based on nonpublic information he learned at work.
The Securities and Exchange Commission has charged four individuals in a fraud that included seniors who were solicited at “free dinner” investment seminars in Florida.
The Securities and Exchange Commission has announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations.
SEC has announced that J.P. Morgan’s brokerage business has agreed to pay $4 million to settle charges that it made a false statement on its private banking website and in marketing materials.
FINRA has censured and fined Macquarie Capital (USA) US$2.95 million. Find out why.
The firm is accused of investing clients in certain bonds with a hidden financial benefit to a broker-dealer connected to the firm.
Putting clients’ insurance premium payments in the wrong account can land you in hot water, as one U.S.-based agent learned when FINRA came knocking.
The SEC has charged credit rating agency DBRS Inc. with misrepresenting its surveillance methodology for ratings of certain complex financial instruments during a three-year period.
In the fiscal year that ended in September, the SEC filed 807 enforcement actions covering a wide range of misconduct, and obtained orders totaling approximately $4.2 billion in disgorgement and penalties.