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Sec Settlement

Mark Gongloff

SEC Backtracks Slightly On Controversial Policy | Mark Gongloff | Posted 06.19.2013 | Business

If you get busted doing bad things to investors, you had better watch out: The nation's top securities watchdog might, on very rare occasions, actuall...

Ben Hallman

Fewer Defendants Would Deny Guilt Under New SEC Policy | Ben Hallman | Posted 01.07.2012 | Business

In a change of policy that comes after more than two years of public and embarrassing scoldings by a federal judge, the Securities and Exchange Commis...

SEC Wins Emergency Stop In Citi Fraud Case

Posted 12.27.2011 | Business

The Securities and Exchange Commission won a delay in its securities fraud lawsuit against Citigroup Inc, as the regulator tries to appeal a judge's d...

Wall Street Banks Could Settle SEC Conflict Of Interest Lawsuit

The Huffington Post | William Alden | Posted 05.25.2011 | Business

As the government hunts for conflicts of interest at Wall Street banks that peddled investments which contributed to the worst financial collapse sinc...

Goldman Sachs SEC SETTLEMENT Reached

Posted 05.25.2011 | Business

The Securities and Exchange Commission announced today that it has reached a settlement agreement with Goldman Sachs over the sale and marketing contr...

Securities Firms Cheated Customers, Settle With SEC

New York Times | DIANA B. HENRIQUES | Posted 05.25.2011 | Business

More than a dozen Wall Street trading firms systematically cheated their customers of millions of dollars by improperly slicing bits of profit from co...