Securities and Exchange Commission
How a President Trump Might Treat Wall Street and the SEC
It's difficult to predict what "President Trump" would do, given his always-shifting rhetoric, but his past statements and business record offer some hints.
U.S. Man Accused of Jamaican Bridge Loan Scam
The former chairman of a Jamaican call center company allegedly operated a Ponzi scheme that raised $10 million from at least 21 investors.
Lender AGF Accused of Lying About Audits
The SEC also alleges American Growth Funding concealed from investors that many of its loans were non-performing.
SEC Issues Milestone Whistleblower Award
The $700,000 award is the first to a company outsider, illustrating the broad scope of the SEC's whistleblower program.
Goldman Fined $15M Over Short-Sale Reviews
The SEC alleges the firm's securities lending desk failed to comply with rules intended to prevent illegal short selling.
SEC to Increase Scrutiny of Mutual Funds
The agency is concerned about liquidity as a "market-wide risk" after the failure last year of a high-yield bond fund.
‘Cryptoshares’ Coming to the Bitcoin Blockchain
The SEC has approved Overstock.com's plan to issue company shares on the blockchain through its alternative trading platform.
Five Accountants Charged With Audit Violations
The SEC alleges CPA Peter Messineo owned stakes in companies that the firm he worked for was auditing.
SEC Chair: Audit Quality Improving Since SOX
But Mary Jo White cautions that recent PCAOB inspections have found "significant deficiencies" and audit committees may be taking on too much work.
Grant Thornton Put Auditor’s Career Above Investor Interests
Grant Thornton reached a $4.5 million settlement with the SEC in which the audit firm admitted wrongdoing.
Nine Charged With Jammin’ Java Stock Fraud
The SEC alleges stock promoter Shane Whittle orchestrated a "pump-and-dump" scheme that artificially inflated the coffee distributor's share price.