U.S. Securities and Exchange Commission

6 Most Important Things in Business Today

Interbrand has named Apple Inc. (NASDAQ: AAPL) the world's most valuable brand. The figure hit $184 billion, up 3% from last year. General Electric Co. (NYSE: GE) is selling its ...
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Why Didn’t The SEC Say It Was Hacked?

The hack of the U.S. Securities and Exchange Commission database shares something in common with most other recent large hacks of corporate and government databases. It did not get around ...
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Insider Trading Charges Brought Against Former Amazon.com Employee

There is legal insider trading, where corporate insiders have windows of time buy or sell shares in their companies. And then there is illegal insider trading, whereby privileged information is ...
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SEC Issues Fraud Charges Against Broker in Commission Scam

The U.S. Securities and Exchange Commission (SEC) recently charged a former broker with knowingly or recklessly trading unsuitable investment products in the accounts of five customers and misappropriating over $170,000 ...
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SEC Issues Asset Freeze Against Insider Traders

The U.S. Securities and Exchange Commission (SEC) recently announced an emergency court order to freeze assets tied to two brokerage accounts used last week to reap over $1 million. The ...
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SEC Issues Charges Against Underwriter for Gatekeeper Failures

The U.S. Securities and Exchange Commission (SEC) recently announced that an Arizona-based brokerage firm, its CEO and its former underwriter’s counsel have agreed to settle charges related to municipal bond ...
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SEC Issues Charges Against Pastor Defrauding Retirees

The U.S. Securities and Exchange Commission (SEC) recently announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor. The minister is being accused of exploiting church members, ...
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SEC Halts Chicago Firm’s Fraud Targeting Seniors

The U.S. Securities and Exchange Commission (SEC) recently announced an emergency asset freeze and temporary restraining order against a Chicago-based investment adviser and his financial management company. The firm is ...
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SEC Uncovers Boiler Room Scheme in Florida Firm

The U.S. Securities and Exchange Commission (SEC) recently announced charges against a Florida-based company, its chief executive and its top sales agent in regards to conducting a boiler room scheme that ...
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Exxon Is Target of Mini-Tender Offer

After markets closed on Friday, Exxon Mobil Corp. (NYSE: XOM) announced that the company had received notice of an unsolicited mini-tender offer by TRC Capital to purchase up to 2 ...
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Silicon Valley Insider Trader Busted Ahead of Failed Merger

The U.S. Securities and Exchange Commission (SEC) recently announced that an auditor based out of Silicon Valley has agreed to settle insider trading charges. He is being accused of trading ...
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Marijuana Firm Charged With Misrepresenting ‘Record’ Revenues

California-based marijuana vending machine company Medbox saw its supposed revenues go up in smoke after the firm faced an investigation from the U.S. Security and Exchange Commission (SEC). Essentially, the ...
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Satellite

Satellite Imaging Used to Uncover Massive Homebuilder Fraud in Mexico

The U.S. Securities and Exchange Commission (SEC) recently announced that the Mexico-based homebuilder Desarrolladora Homex has agreed to settle fraud charges. According to these charges, the company reported fake sales ...
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Comcast logo

Nearly $30 Million Frozen for Chinese Insider Trading Scheme at Comcast

The U.S. Securities and Exchange Commission (SEC) recently announced that it obtained an emergency court order freezing brokerage accounts that held over $29 million in illegal profits reaped from insider ...
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theater

2 Charged in Huge ‘Hamilton’ Ticket Resale Ponzi Scheme

The musical "Hamilton" has been perhaps the biggest smash hit of Broadway in recent years. Tickets have been nearly impossible to get, aside from months of waiting. Whenever there are events ...
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