SEC Charges Former North Carolina Investment Adviser and Public Company CEO with Fraudulent Self-Dealing Read the full report at Read More

SEC Charges Former Astrazeneca Employee with Insider Trading Read the full report at Read More

SEC Charges Investment Adviser and Its Principals with Fraud Read the full report at Read More

The Securities and Exchange Commission today announced that Investor Advocate Rick A. Fleming will depart the agency after more than eight years of service. Mr. Fleming was appointed in February 2014 to be the first director of the Office of the Investor… Full report at: Read More

The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’ incorporation of environmental, social, and governance… Full report at: Read More

The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that have developed in the approximately 20 years since the… Full report at: Read More

SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser Read the full report at Read More

The Securities and Exchange Commission today announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M. Middlebrooks, for allegedly engaging in a multi-year scheme that included the… Full report at: Read More

The Securities and Exchange Commission today announced settled charges against RiverSource Distributors Inc. for improper switching or replacing of variable annuities. This is the SEC’s first-ever enforcement proceeding under Section 11 of the Investment… Full report at: Read More

SEC Charges Executive Compensation Consultant with Insider Trading Read the full report at Read More