Securities and Exchange Commission

SEC sues former Logitech executives for fraudulent accounting in 2011

Two logitech executives are being sued by the SEC for fraudulently concealing the company's poor sal...

Apr 20, 2016 04:40 AM EDT

Theranos Under Investigation by Federal Criminal Investigation And Securities and Exchange Commission

Theranos is now under probe by the Securities and Exchange Commission and the Federal Criminal Inves...

Apr 19, 2016 03:55 AM EDT

SEC files lawsuit against former ConvergEx official linked to fraudulent markups

Securities and Exchange Commission filed a lawsuit against a former employee of ConvergEx for partic...

Apr 14, 2016 12:29 AM EDT

Heads of agencies regulating securities and commodities press the U.S. Congress for more funds

The heads of the U.S. agencies that regulate securities and commodities pressed a Senate committee. ...

Apr 13, 2016 04:59 AM EDT

US Virgin Islands, Massachusetts launch Exxon Mobil probe over climate change claims

The attorney generals of Massachusetts and the U.S Virgin Island are now investigating Exxon Mobil r...

Mar 30, 2016 09:00 AM EDT

SEC agrees with the budget of independent accounting board

SEC approved the budget of the independent accounting board on Tuesday. The budget is allotted for t...

Mar 16, 2016 06:02 AM EDT

SEC enforces rare, record fine on municipal bond issuer

SEC fined a municipal bond issuer for only the second time on Wednesday. SEC accused California's la...

Mar 11, 2016 03:13 AM EST

Uni-Pixel settles $750,000 Over Fraud Lawsuit case filed by Investors

Uni-Pixel will pay to settle fraud lawsuit case filed by their investors, claiming the company misle...

Mar 10, 2016 11:51 PM EST

US Senate banking panel sets confirmation hearing for Obama's SEC nominees

The United States Senate Banking Committee is set to hold a confirmation hearing on March 15 for the...

Mar 10, 2016 06:37 PM EST

SEC charges Wells Fargo and Rhode Island agency with securities fraud for 38 Studios deal

Wells Fargo and Rhode Island Agency are being charged with securities fraud by the Securities and Ex...

Mar 08, 2016 11:37 PM EST

Judge rules SEC could take Fannie Mae ex-exec Daniel Mudd to trial over risk loans

A judge ruled that the Securities and Exchange Commission could take Daniel Mudd to trial over hidin...

Mar 03, 2016 08:25 AM EST

NYSE withdraws proposal to determine deviation in trading exchange traded funds

The Securities and Exchange Commission confirmed that the New York Stock Exchange withdrew its propo...

Feb 22, 2016 08:58 AM EST

Mondelez Receives Wells Notice from SEC

Mondelez has confirmed that they have received a Wells notice from the U.S. SEC for their Cadbury pl...

Feb 22, 2016 08:22 AM EST

Securities and Exchange Commission concludes probe on Caterpillar while IRS, federal grand jury continue investigation

The Securities and Exchange Commission finished its investigation on Caterpillar regarding probable ...

Feb 18, 2016 09:57 AM EST

Securities and Exchange Commission pursues trial for two Euro Pacific Capital ex-traders

The Securities and Exchange Commission will pursue case of Euro Pacific Capital ex-traders Daryl Pay...

Feb 17, 2016 10:01 AM EST

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