Chinese Traders Charged With Trading on Hacked Nonpublic Information Stolen From Two Law Firms

The Securities and Exchange Commission today charged three Chinese traders with fraudulently trading on hacked nonpublic market-moving information stolen from two prominent New York-based...

SEC Charges Operators of Fake Day-Trading Firm With Defrauding Inexperienced Investors

The Securities and Exchange Commission today charged two men behind a phony day-trading firm with pocketing more than $1.4 million in deposits from hundreds...

Sharon Binger, Director of Philadelphia Regional Office, to Leave SEC, G. Jeffrey Boujoukos Takes...

The Securities and Exchange Commission today announced that Sharon B. Binger, Director of the Philadelphia Regional Office, will leave the agency at the end...

CFTC Orders Goldman Sachs to Pay $120 Million Penalty

The U.S. Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against The Goldman Sachs Group, Inc., and Goldman, Sachs...

IOSCO identifies risks to retail investors of OTC leveraged products

The International Organization of Securities Commissions (IOSCO) issued today a report that identifies various risks related to the marketing and sale of complex OTC...

Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay...

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Amy J. St. Eve of the U.S. District Court for the Northern District...

CYSEC Decision Regarding Best Choice FBC Ltd

Following the announcement dated 29th September 2016, the Cyprus Securities and Exchange Commission (‘CySEC’), after a decision at the meeting dated 28th November 2016,...

CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for...

The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Convergent Wealth Advisors LLC (Convergence), an investment...

SEC Charges Platinum Funds and Founder With Defrauding Investors

The Securities and Exchange Commission today charged the founder of Platinum Partners and two of its flagship hedge fund advisory firms with conducting a...

SEC Charges Three Individuals and Broker-Dealer With Violating Market Structure Rules

The Securities and Exchange Commission today announced settled cease-and-desist proceedings against the CEO of a Utah-based broker-dealer and two registered persons associated with the...

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