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Lawyer

Volkswagen settled with the U.S. over criminal and civil charges in diesel emissions scandal two years ago

Thief

The SEC says the rep was involved in a pump-and-dump scheme from 2008 to 2014

  • By: Staff
  • March 14, 2019 March 14, 2019
  • 09:18
Business young people in the job interview, signed an employment contract with boss in the office

Almost 80 firms admitted to violating securities rules

  • By: Staff
  • March 11, 2019 March 11, 2019
  • 17:23
Gavel

Plot netted US$4.1 million

  • By: Staff
  • January 15, 2019 January 15, 2019
  • 14:58
Candle stick graph chart of stock market investment trading

The pilot would run in parallel with a U.S. Securities and Exchange Commission study

wall street, new york city

Proposed rule applies only when a broker makes a recommendation

  • By: Staff
  • November 13, 2018 November 13, 2018
  • 16:35
whistle-blow

Comparing the success of investor protection programs in Canada and the U.S.

Title reform is catching on inside the SEC as a simple solution that would be straightforward to implement as the regulator moves toward a proposal for a new fiduciary standard, Investment News reported. Title reform would draw a line between brokers and investment advisors (and advisers), limiting who can use the latter title to those […]

  • By: Staff
  • March 13, 2018 August 21, 2018
  • 10:47

The SEC says in a release that it has obtained an emergency asset freeze to halt an initial coin offering fraud that raised up to US$15 million from thousands of investors since August. The offering falsely promised a 1,354% profit, says the SEC. The commission has filed charges against “a recidivist Quebec securities law violator,” […]

  • By: Staff
  • December 4, 2017 August 21, 2018
  • 16:22

The Securities and Exchange Commission today charged Mohammed Ali Rashid, a former senior partner at Apollo Management L.P., with defrauding his fund clients by secretly billing them for approximately $290,000 in personal expenditures, including his family vacations, visits to a hair salon, and purchases of designer clothing and high-end electronics. The SEC’s complaint alleges Rashid […]

  • By: Staff
  • October 26, 2017 August 21, 2018
  • 10:29