We are proposing a new rule under the Securities Act of 1933 that would permit issuers to engage in oral or written communications with potential ...
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is proposing rules that would require the application of specific risk mitigation techniques to portfolios of
security-based swaps ...
while employed on the wealth syndicate desk of two different brokerage firms, Hirsch entered into undisclosed arrangements with certain customers in violation of the firms' ...
The Commission’s complaint alleged that, from late 2013 and through at least the summer of 2015, Eikenberry, with others, perpetrated a fraudulent scheme in which ...
Nichter knowingly devised, and intended to devise, a scheme or artifice to defraud, and to obtain money, funds, and other property by means of materially ...
Respondent caused false and misleading representations and omissions to be made to current and prospective investors of a New York-based hedge fund (the “Hedge Fund”) ...
Gathright admitted that between June 2010 and September 2011, he used his position at Merrill to cause companies maintaining annuities for his clients to issue ...
Gibson solicited and accepted approximately $169,348 from five investors. Instead of investing his clients’ money as promised, Gibson simply used the funds for his own ...
The Commission’s complaint alleged that, between March 2015 and February 2016, Jumper misappropriated approximately $5,700,000 from an employee pension plan by forging documents that purported ...
At least several of the largest (by share volume) Pre-Release Brokers that routinely obtained pre-released ADRs from JPMorgan during that period failed in many instances ...