Mizuho Financial Group

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  SEC’s 16 Biggest Penalties Since Financial Crisis

  By Melanie Waddell, AdvisorOne  |  January 24, 2013

  The SEC recently released a roundup of its financial crisis enforcement actions, highlighting some of the more than 150 firms and individuals the agency has levied charges against since 2008.

• Insider Trading Scandal Fells Nomura Chief

  By Marlene Y. Satter, AdvisorOne  |  July 26, 2012

  Kenichi Watanabe stepped down as head of Japan’s top investment bank over an insider trading scandal as the bank's internal investigation found a "high possibility" that more cases would emerge.

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  SEC, DOL Enforcement Roundup: CDO Woes, Short-Selling Brothers, Amish Fund

  By Marlene Y. Satter, AdvisorOne  |  July 19, 2012

  Recent actions by the SEC and DOL included fines of $127.5 million for a securities firm over false CDO credit ratings and $14.5 million for two short-selling brothers, along with deferred prosecution for an Amish fund.

• HSBC Appoints Japanese Equity Team for New Fund

  By Staff Writer  |  February 24, 2003

  LONDON (HedgeWorld.com)--Philippe Huber, Alex de Korodi and Daniel Del?chat will launch a new Japanese equity market-neutral fund for HSBC Alternative Investments Ltd. The team will be...