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SEC Enforcement
SEC’s Division of Enforcement. Disclaimer:
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SEC Enforcement Jul 3
Statement from Chairman Jay Clayton Regarding Offers of Settlement
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SEC Enforcement May 6
SEC obtains final judgment against former broker for defrauding customers
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SEC Enforcement May 3
2/ ... We will continue to hold chief executives accountable when they breach their most fundamental duty to make full and truthful disclosures to investors.”
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SEC Enforcement May 3
1/ Associate Director Bandy: "GT and its CEO painted a rosy picture of the company’s performance and ability to obtain funding that was paramount to GT’s survival while they were aware of information that would have catastrophic consequences for the company...
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SEC Enforcement May 3
charges sapphire glass manufacturer and former CEO with fraud
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SEC Enforcement May 3
3/ ... I look forward to working with our talented and dedicated colleagues across the country as we continue our work protecting investors in this critical industry."
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SEC Enforcement May 3
2/ ... I have been with the Unit since its inception, and I have tremendous pride in its people, its work, and all it has accomplished so far. ...
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SEC Enforcement May 3
1/ Co-Chief Aderton: "I am honored to lead the Asset Management Unit with Dabney. ...
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SEC Enforcement May 3
's Enforcement Co-Director Peikin: "I am confident that Adam and his Co-Chief, Dabney O'Riordan, will together provide strong leadership of the Asset Management Unit and continue to deliver results for investors harmed by asset manager misconduct."
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SEC Enforcement May 3
's Enforcement Co-Director Avakian: "Adam is a highly respected leader and his broad experience and strong judgment are a tremendous asset. We look forward to working closely with him as co-chief of the Asset Management Unit."
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SEC Enforcement May 3
Adam S. Aderton named Co-Chief of the 's Asset Management Unit
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SEC Enforcement Apr 29
obtains asset freeze in connection with alleged insider trading
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SEC Enforcement Apr 29
charges San Diego-based investment adviser with running a Scheme
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SEC Enforcement Apr 29
Former broker ordered to pay disgorgement and penalties
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SEC Enforcement Apr 29
2/ ...Even after charging Meli, who is now in prison for his similar scam, the 's investigative team continued working to protect investors from related bad conduct."
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SEC Enforcement Apr 29
1/ Regional Director Levenson: "As alleged in our complaint, investors were lured in with promises of big profits, but Siniscalchi really just took over his cousin's fraudulent scheme to steal money...
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SEC Enforcement retweeted
SEC Boston Apr 29
SEC Announces Fraud Charges in Ticket Resale Investment Scam: "
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SEC Enforcement Apr 29
announces fraud charges in ticket resale investment scam
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SEC Enforcement Apr 29
2/ ...We will continue to hold issuers accountable for such serious breaches of trust to the investing public."
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SEC Enforcement Apr 29
1/ SEC Chicago Regional Director Levin: “We allege that Celadon knowingly engaged in a multi-faceted scheme to hide at least $20 million in losses from its investors, and lied to its auditors to conceal the scheme...
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