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Sec Settlement

Mark Gongloff

SEC Backtracks Slightly On Controversial Policy

HuffingtonPost.com | 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

HuffingtonPost.com | 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...

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...

Ex-'Car Czar' Settles SEC Charges, Then Gets Hit With Another Lawsuit

AP | MARCY GORDON | Posted 05.25.2011 | Business

WASHINGTON — The Obama administration's former auto czar agreed Thursday to pay $6.2 million to settle civil charges over his role in an influen...

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...