CNOOC

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  SEC, FINRA Enforcement Roundup: SAC Inquiry Nabs Sigma Portfolio Manager

  By Marlene Y. Satter, AdvisorOne  |  April 4, 2013

  Among recent actions by the SEC and FINRA were charges against a portfolio manager from Sigma Capital Management, an affiliate of SAC Capital Advisors.

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  SEC, FINRA Enforcement Roundup: Cantor Fitzgerald Hit by FINRA

  By Marlene Y. Satter, AdvisorOne  |  October 25, 2012

  Among recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.

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  SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec Charged

  By Marlene Y. Satter, AdvisorOne  |  August 2, 2012

  There was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.