SEC

SEC probes Blackberry options trading ahead of Reuters report about Samsung talks

The U.S. Securities and Exchange Commission is investigating a January 14 spike in trading in BlackB...

Feb 06, 2015 04:34 AM EST

Recording shows how UBS drove reluctant brokers to sell high-risk Puerto Rico funds

In April 2011, two years before their prices sank, a slew of bond funds that were being sold by UBSâ...

Feb 06, 2015 04:20 AM EST

BNY Mellon may face bribery charges over sovereign wealth funds: filing

Bank of New York Mellon Corp (BK.N) has disclosed in a filing that U.S. regulators are considering c...

Jan 27, 2015 06:16 PM EST

NY insider trading ruling tests prosecutors beyond Wall Street

A court ruling that sharply curtailed the ability of prosecutors including Manhattan U.S. Attorney P...

Jan 26, 2015 05:51 AM EST

U.S. regulators sue former Capital One employees for insider trading

U.S. securities regulators have accused two former Capital One Financial Corp data analysts with eng...

Jan 23, 2015 03:30 AM EST

Executive in Chinese reverse merger case avoids U.S. prison

A former executive at a Chinese oil and gas company has avoided prison in the only U.S. criminal cas...

Dec 13, 2014 09:50 AM EST

Whistleblower claim against brokerage belongs in arbitration: court

A TD Ameritrade Holding Corp employee who said the firm retaliated against him for complaining about...

Dec 10, 2014 02:55 AM EST

U.S. SEC reports rise in whistleblower tips in fiscal 2014

The U.S. Securities and Exchange Commission received more than 3,500 tips from whistleblowers in fis...

Nov 19, 2014 09:25 AM EST

U.S. SEC sanctions two ex-FLIR employees over bribery allegations

Two former employees with defense contractor FLIR Systems Inc will collectively pay $70,000 in penal...

Nov 18, 2014 08:15 AM EST

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