Sec Posts
The Magnetar Fallout: Who's Been Charged, Has Settled, or is Now Being Investigated ?
by Cora Currier, ProPublica
SEC Names Managing Executive of Division of Trading and Markets
The Securities and Exchange Commission has announced that James P. McNamara has been named to the newly-created position of Managing Executive of the SEC’s Division of Trading and Markets.
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SEC Names Deputy Director For Trading and Markets
The Securities and Exchange Commission has announced that James R. Burns will become a Deputy Director in the Division of Trading and Markets.
SEC Names Deputy Chief of Staff
The Securities and Exchange Commission has announced that Erica Williams will become the agency’s Deputy Chief of Staff.
SEC Charges Firm for Improperly Boosting Hedge Fund Client at Expense of U.S. Fund Investors
The Securities and Exchange Commission has charged a Scotland-based fund management group for fraudulently using one of its U.S. fund clients to rescue another client, a China-focused hedge fund struggling in the midst of the global financial crisis.
SEC Charges UBS Puerto Rico and Two Executives With Defrauding Fund Customers
The Securities and Exchange Commission has charged UBS Financial Services of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds.
SEC Names Deputy Director Of The Division Of The Enforcement
The Securities and Exchange Commission has announced that George S. Canellos, currently Director of the SEC’s New York Regional Office, has been named Deputy Director of the Division of the Enforcement.
Attorney, Wall Street Trader, and Middleman Settle SEC Charges in $32m Insider Trading Case
The Securities and Exchange Commission has announced a settlement in a $32m insider trading case filed by the agency last year against a corporate attorney and a Wall Street trader.
Egan-Jones Ratings Co and Sean Egan Charged By SEC, Firm To 'Vigorously' Defend Itself
The Securities and Exchange Commission has announced charges against Egan-Jones Ratings Company (EJR) and its owner and president Sean Egan.
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