SEC Files Charges in Fine Wine Investment Fraud Scheme Read the full report at Read More

SEC Obtains Final Judgment in Microcap Fraud Litigation Read the full report at Read More

The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure… Full report at: Read More

The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, and… Full report at: Read More

SEC Charges Nevada-Based Investment Adviser for Conducting Fraudulent “Cherry-Picking” Scheme Read the full report at Read More

SEC Charges CEO of Microcap Public Company for Defrauding Investors Read the full report at Read More

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. The Committee will discuss alternative approaches to private company financing, the Commission’s… Full report at: Read More

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