SEC Charges Family Office Executives with Insider Trading Read the full report at Read More

SEC Charges California Attorney for Role in $910 Million Ponzi Scheme Read the full report at Read More

The Securities and Exchange Commission today announced charges against six individuals and two companies for their involvement in a fraudulent scheme to promote the securities of issuers that were conducting (or purporting to conduct) offerings pursuant… Full report at: Read More

SEC Charges Vivera Pharmaceuticals and Its CEO with Offering Fraud Read the full report at Read More

The Securities and Exchange Commission today announced insider trading charges against two Canadian software engineers who made $1.6 million by trading ahead of non-public, market-moving financial information. According to the SEC’s complaint, from at… Full report at: Read More

The Securities and Exchange Commission today charged audit firm RSM US LLP and three senior-level employees with improper professional conduct for failing to properly audit Revolution Lighting Technologies Inc.’s (“Revolution”) financial statements over… Full report at: Read More

SEC Charges Former Chicago-Area Investment Professional with Defrauding Elderly Client of $1.2 Million Read the full report at Read More

The Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount of securities due to a failure to implement any internal control to track such… Full report at: Read More

SEC Charges Minneapolis Hedge Fund Manager in Alleged Market Manipulation Scheme Read the full report at Read More

The Securities and Exchange Commission today charged Justin Costello for using a false persona, as a Harvard-educated military veteran and hedge fund billionaire, to defraud investors out of millions of dollars. The SEC also charged Costello and David… Full report at: Read More