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U.S. Securities and Exchange Commission

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

BofA still seeking SEC relief in $16.7 billion settlement

Bank of America Corp is still trying to get a penalty waiver from the U.S. Securities and Exchange C...

Nov 07, 2014 10:37 PM EST

SEC seeks to double $200 million damages award against businessman Wyly

The U.S. Securities and Exchange Commission will ask a federal judge to more than double the money T...

Nov 07, 2014 10:34 PM EST

Ex-Ameriprise broker pleads guilty after SEC insider trading case

A former Ameriprise Financial Inc stockbroker previously accused by U.S. securities regulators of en...

Nov 06, 2014 02:04 AM EST

Capital One's subprime auto business comes under government scrutiny

Capital One Financial Corp said it had received a subpoena from the New York district attorney's off...

Nov 05, 2014 08:21 AM EST

BATS to settle biggest-ever fine to an exchange

BATS Global Markets is close to settling a U.S. regulatory probe into Direct Edge's dealings with hi...

Nov 05, 2014 04:23 AM EST

Caterpillar gets SEC subpoena over Bucyrus accounting

Construction equipment company Caterpillar Inc on Friday said the U.S. Securities and Exchange Commi...

Nov 01, 2014 04:35 AM EDT

SEC probing private equity performance figures

The U.S. Securities and Exchange Commission is examining how private equity firms report a key metri...

Oct 29, 2014 01:54 AM EDT

SEC rejects NYSE proposal to list 'non-transparent' ETFs

U.S. regulators on Friday rejected a proposal from the NYSE Arca exchange to be able to list and tra...

Oct 27, 2014 06:45 AM EDT

U.S. judge to order asset freeze on Wyly after bankruptcy

A U.S. judge said Thursday she would order the assets of Texas entrepreneur Sam Wyly, who once made ...

Oct 24, 2014 04:05 AM EDT

JPMorgan was alerted of hiring concerns in China before U.S. probe

JPMorgan Chase & Co (JPM.N) executives in New York were aware of potential problems tied to its recr...

Oct 23, 2014 05:40 AM EDT

Texas investor Sam Wyly files for bankruptcy after losing SEC fraud case

Texas tycoon Sam Wyly has filed for bankruptcy, saying he does not have the assets to pay the nearly...

Oct 20, 2014 11:07 PM EDT

Canadian sues SEC to stop Herbalife insider trading case

A Toronto man accused by the U.S. Securities and Exchange Commission of insider trading in Herbalife...

Oct 20, 2014 10:59 PM EDT

SEC's Piwowar takes a swing at 'broken windows' enforcement policy

A top U.S. Securities and Exchange Commission official said on Tuesday the agency's the "broken wind...

Oct 15, 2014 03:45 AM EDT

SEC to decide if investors share in $600 million SAC settlement

The U.S. Securities and Exchange Commission will decide next week whether investors in two drug stoc...

Oct 05, 2014 11:08 PM EDT

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