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By Marlene Y. Satter, AdvisorOne |
April 18, 2013
Among recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.
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By Marlene Y. Satter, AdvisorOne |
November 29, 2012
Three top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the fund’s assets during the financial crisis.
a complaint against the president and owner of a Polish-born brokerage firm for targeting the Polish...
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By Melanie Waddell, AdvisorOne |
October 29, 2012
The SEC says that it has now charged 32 defendants in its Galleon-related enforcement actions.