Enforcement: Broker Convicted of Bilking Elderly Relatives in Fake Hedge Fund
Meanwhile, Goodyear agreed to pay $16 million to the SEC to settle bribery charges.
Enforcement Roundup: Ex-CCO Sues Over ‘Defamatory’ Form U5
In another action, the SEC charged five offshore entities with offering and selling unregistered penny stocks.
SEC Enforcement Roundup: Twitter, Facebook Pre-IPO Fraud
SEC moves on a Ponzi-like social media IPO fraud case and multiple instances of alleged insider trading.
SEC Enforcement: Layne Christensen Fined $5M on Bribery Charge
Meanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.
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, CFPB Enforcement: AgFeed Fined $18M for Fattening Its Stock Price
Meanwhile, the CFPB sued for-profit chain Corinthian Colleges for predatory lending, and a hedge fund manager was charged with pocketing extra fees.
SEC, FINRA Enforcement: Citi Global Markets Fined $2 Million
In another action, an investor relations firms exec was charged with insider trading.
Enforcement Roundup: Standard Chartered to Pay $300M, Cut Services
In another enforcement action, the SEC charged a former bank exec and his friend with insider trading.