F-Squared Pays SEC $35M Fine to SEC for Misleading Performance Advertising
SEC says F-Squared's AlphaSector used back-tested performance data that mistakenly inflated results by 350%, not actual performance numbers.
SEC Enforcement: Man of Many Aliases Charged With Stock Fraud
California man with several aliases was charged with fraudulently selling $900,000 worth of stock that he didn't actually own.
Enforcement Roundup: Madoff Recovery Total Hits $10 Billion
Meanwhile, the SEC suspended trading of four companies over concerns about their Ebola remedy prospects.
Ex-Schwab Rep Barred for Stealing, Reselling $1M in Office Equipment
The former broker faces other charges tied to drug dealing and illegal use of a communications device in Florida, FINRA says.
SEC, DOL Enforcement: Ex-Mayor Fined for Misleading Movie Studio Investors
Meanwhile, two Canadian citizens were charged with conducting an international microcap fraud scheme.
Enforcement Roundup: Stock Scam by New Yorker Used to Pay for Vacation, Plastic Surgery
Meanwhile, Rajaratnam brother to pay more than $840,000 for insider trading.
SEC, FINRA Enforcement: HFT Firm Charged With Manipulating Closing Prices
In another action, FINRA slapped TD Ameritrade for a recordkeeping failure.
SEC Enforcement: Ex-Wells Fargo Analyst, Trader Charged With Insider Trading
SEC also hits two for insider trading on Pershing Square's Herbalife short, while Massachusetts charges a tax advisor with preying on elderly relatives.
SEC Charges Marketing Company With International Ponzi Scheme
An international pyramid scheme raised more than $129 million worldwide, the SEC said, charging two execs with fraud.
SEC Busts 4 Insurance Agents in Scam Against Seniors
SEC charges four insurance agents for unlawfully selling securities in what turned out to be a multimillion-dollar fraud targeting retirees.