SEC Obtains Final Judgment Against Former Pharmacy Chain Employee Charged with Insider Trading Read the full report at Read More

The Securities and Exchange Commission today charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with the Commission in certain ratings classes, with violating conflict of… Full report at: Read More

Second Circuit Affirms Judgment for SEC in Layering, Manipulative Trading Case Read the full report at Read More

SEC Charges Former Texas City Official for Falsifying City’s Financial Documents Read the full report at Read More

The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –… Full report at: Read More

SEC Charges “Millionaire Maker” Author with Selling Securities in Unregistered Oil and Gas Offerings Read the full report at Read More

The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the activities of certain “information providers,” including whether, under particular facts and circumstances, information… Full report at: Read More

SEC Halts Fraudulent Real Estate-Related Investment Offerings Read the full report at Read More

SEC Charges Former Employee of Online Gambling Company with Insider Trading Read the full report at Read More

The Securities and Exchange Commission today charged the City of Rochester, New York, its former finance director Rosiland Brooks-Harris, and former Rochester City School District CFO Everton Sewell with misleading investors in a $119 million bond… Full report at: Read More