The Securities and Exchange Commission today announced settled charges against RSE Markets Inc. for operating as an unregistered exchange by maintaining and providing a marketplace and facilities that brought together purchasers and sellers of securities… Full report at: Read More

The Securities and Exchange Commission today announced an award of more than $9 million to a whistleblower whose significant and detailed information and assistance led to a successful SEC enforcement action. After repeatedly internally reporting the… Full report at: Read More

The Securities and Exchange Commission today proposed amendments to Rule 15c3-3 (the Customer Protection Rule) to require certain broker-dealers to increase the frequency with which they perform computations of the net cash they owe to customers and… Full report at: Read More

SEC Obtains Final Judgment Against Microcap Stock Promoter Read the full report at Read More

SEC Obtains Appointment of a Receiver in Pre-Ipo Stock Fraud Scheme by Unregistered Broker-Dealer Read the full report at Read More

The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. (BACNAH) for failing to file hundreds of Suspicious Activity Reports (SARs… Full report at: Read More

SEC Obtains Final Judgments Against Former Public Company Chairman and Two Others in Fraudulent Filings and Pump-And-Dump Scheme Read the full report at Read More

SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members Read the full report at Read More

The Securities and Exchange Commission today charged former U.S. Army financial counselor Caz L. Craffy for defrauding Gold Star family members and others by engaging in unauthorized trading—including of life insurance and family survivor benefits they… Full report at: Read More

SEC Obtains Final Judgments Against Operators of Fake Trading Scheme Known as “EmpiresX” Read the full report at Read More