SEC

SEC alleges analyst used mom’s account for insider trading Fallback Image Decorative pattern

Industry

SEC alleges analyst used mom’s account for insider trading

The SEC has announced insider trading charges against a research analyst who allegedly reaped more than $1.5 million in February through trades he made in his mother’s brokerage account based on nonpublic information he learned at work.

By Staff |April 14, 2016

2 min read

SEC charges 4 in fraudulent “free dinner” scheme Fallback Image Decorative pattern

Industry

SEC charges 4 in fraudulent “free dinner” scheme

The Securities and Exchange Commission has charged four individuals in a fraud that included seniors who were solicited at “free dinner” investment seminars in Florida.

By Staff |April 4, 2016

2 min read

Goldman Sachs to pay $15M to settle SEC charges Fallback Image Decorative pattern

Industry

Goldman Sachs to pay $15M to settle SEC charges

The Securities and Exchange Commission has announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations.

By Staff |January 14, 2016

3 min read

J.P. Morgan paying $4 million for allegedly misleading clients Fallback Image Decorative pattern

Industry

J.P. Morgan paying $4 million for allegedly misleading clients

SEC has announced that J.P. Morgan’s brokerage business has agreed to pay $4 million to settle charges that it made a false statement on its private banking website and in marketing materials.

By Staff |January 6, 2016

2 min read