SFC bans Lam Yuk Wai for life
The Securities and Futures Commission (SFC) has banned Mr Lam Yuk Wai, a former staff of HSBC Broking Securities (Asia) Limited, HSBC Broking Futures...
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...
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 Lawyer With Stealing Investor Money in EB-5 Offerings
The Securities and Exchange Commission today charged a California-based attorney with defrauding investors seeking to participate in the EB-5 immigrant investor program, stealing their...