Bill Myers
The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
The former CEO of a New York broker-dealer and one of his trusted employees are facing stiff prison terms after they were arrested on charges ...
A Sacramento-based investment adviser is vowing to fight back against an SEC complaint that accuses him of bilking aging workers and retirees. The Commission says ...
An investment adviser/broker-dealer has agreed to pay state authorities $250,000 to settle claims that it failed to supervise a rogue broker/investment adviser, authorities have announced. ...
On the same day an online shopping executive pleaded guilty to state fraud charges, the SEC moved to relieve him and his company of at ...
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
The U.S. House has passed a $1.4 trillion budget that will give SEC Chairman Jay Clayton a free hand to implement Reg BI but that ...
The SEC has dropped its ADR hammer again, this time on a New York broker-dealer Jefferies. The firm will now pay nearly $4 million in ...
The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...
The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...