The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the program, which already includes some of the… Full report at: Read More

SEC Obtains Final Judgment Against Defendant for Role in Offering Fraud Read the full report at Read More

The Securities and Exchange Commission today announced that Silvestre A. Fontes has been named Regional Director of the Boston office, starting next week. John Dugan and Kevin Kelcourse, who have served as Acting Co-Regional Directors, will remain as… Full report at: Read More

The Securities and Exchange Commission today proposed a rule to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. The rule is intended to prevent the sale of asset-backed securities (ABS) that… Full report at: Read More

SEC Charges Investment Club Manager for Misappropriating Investor Funds Read the full report at Read More

SEC Obtains Asset Freeze and Other Relief, Charges Miami Investment Advisers for Fraudulent Scheme Using Fabricated Audit Reports and Attorney Letters Read the full report at Read More

Defendant, Who Was Arrested and Jailed in a Federal Prison in Puerto Rico, Is Awaiting Transport to NYC On Parallel Criminal Charges Read the full report at Read More

SEC Charges Wisconsin Investment Adviser with Defrauding Senior Clients Read the full report at Read More

The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint whistleblowers’ detailed information prompted the… Full report at: Read More

SEC Obtains Over $5 Million Final Judgment Against Individual in Multi-Million Dollar Microcap Pump and Dump Scheme Read the full report at Read More