Daniel Hawke

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  CBOE to Pay $6M Fine to SEC Over Regulatory ‘Breakdowns’

  By Melanie Waddell, AdvisorOne  |  June 11, 2013

  The CBOE was charged with various violations, including a “failure to enforce or even fully comprehend” rules to prevent abusive short selling.

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  Nasdaq to Pay SEC $10M Over Botched Facebook IPO

  By Melanie Waddell, AdvisorOne  |  May 29, 2013

  The SEC on Wednesday charged Nasdaq with violations resulting from “poor systems and decision-making” during the IPO and secondary trading of Facebook shares.

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  Trader Caught in Apple Stock Scam

  By Melanie Waddell, AdvisorOne  |  April 15, 2013

  The SEC on Monday charged a former employee at a Connecticut-based brokerage firm with placing unauthorized orders to buy nearly $1 billion in Apple stock, ultimately causing the firm to cease operations.

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  SEC, FINRA Enforcement Roundup: Eli Lilly to Pay $29M to Settle Foreign Bribery Charges

  By Marlene Y. Satter, AdvisorOne  |  January 3, 2013

  The SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the fund’s collapse. FINRA ordered Pruco Securities to pay $10.7 million.

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  SEC Slaps OptionsXpress Again, This Time for Delisted Trading

  By John Sullivan, AdvisorOne  |  April 19, 2012

  This is the second spate of bad news for the company in as many days.