The SEC is preparing sanctions against Felix Investments LLC over trading of private-company shares, the first action to emerge from a broad investigation of transactions involving non-public startups.
Barney Frank, co-author of the Dodd-Frank financial reforms, will speak at a Goldman Sachs fixed-income sales event today
Lawyer who spotted broker fraud rewarded with five-year probe by regulators who said he failed as a supervisor
Putnam Investments ceo Bob Reynolds today called for the establishment of a regulatory body to approve lifetime-income products.
Oklahoma State University's athletic fund and Lincoln National Life Insurance Co. are embroiled in a legal flap over a failed charitable-insurance-funding plan.
Commission targets shell companin in bid to curb pump-and-dump schemes
Gallagher says some larger funds should not be subject to new registration rule; Plaze says exemptions will be rare
Convicted in 2005 of looting Tyco International, Dennis Kozlowski now participates in a work-release program where he works as a financial consultant for a non-profit organization that helps ex-convicts.
Citigroup Inc. and the U.S. Securities and Exchange Commission won a delay in the trial of a lawsuit the agency brought against the bank while an appeals court considers a judge's refusal to approve their $285 million settlement.
Swat team created in 2009 to target wealthy filers seeing planty of action
Another distraction has hit House Financial Services Chairman Spencer Bachus, potentially creating more obstacles for his legislation to establish a self-regulatory organization for investment advisers.
The Securities and Exchange Commission is continuing to beef up and streamline its technology, adding new systems to track and catch fraudsters and other financial miscreants.
Callahan accused of using $3.35 million of investor money to help purchase property
Administration's proposed budget would boost funds for SEC; more examiners, more exams
Advisory unit loses latest appeal of raiding case stemming from brokers' move to Stifel in 2008; ordered to pay lawyers' fees
NAIBD calls commission's insistence that agency cover Stanford losses 'a misfit solution'
