Tag: SEC

Firm agrees to pay $2.5 million fine to settle with regulator.

Alexander Capital to pay more than $400,000 in fines for brokers who ‘churned’ accounts.

Firm ordered to pay nearly $16 million for ‘deceiving’ customers.

Regulator alleges investment firm defrauded hundreds of clients.

Plan targets stock exchange practice that asset managers say leads to higher prices for investors like them.

Brent Borland is accused of stealing nearly $6 million to fund ‘lavish lifestyle.’

Insurer links pension predicament to ‘material weakness in internal control and financial reporting.’

New appointee previously served the Council between 1996 and 2004.

Firms’ short-term cash holdings have moved away from money-market prime funds towards government funds.

“Pay-to-play” scheme lavished NYSCRF pension fund director with entertainment, travel, and meals.

Since bonds are rarely traded, pricing is difficult to verify, making it “ripe for abuse.”

Investment bank to create fair fund to pay back clients.