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.
SEC Enforcement: Kansas Charged With Securities Fraud
In another action, a brokerage firm and its founder were charged with violating net capital requirements and falsifying data in an attempt to mislead examiners.
SEC, FINRA Enforcement: More Charged in Football-Related Boiler Room Scheme
In other actions, the SEC charged the CEO of penny stock company CytoGenix, and his so-called business partner, with defrauding investors via false press releases.
SEC Enforcement: Missouri Firm Slapped for Fiduciary Duty Breach
Also, the SEC charged five traders with short selling and a school district with misleading bond investors.
FINRA Enforcement: Goldman Fined $800,000 for Trade-Through Failures
In other actions, Morgan Stanley was fined $100,000 on private wealth management failures.
SEC, FINRA Enforcement: Advisors Get $3.6M Arb Award After Boss Faked Client Complaints
In other actions, Massachusetts has charged Boston-based Cabot Investment Properties with fraudulent sales of real estate investments to seniors.