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Sec Investigation

Facebook: SEC Should Investigate the Pump and Dump

Janet Tavakoli | Posted 01.30.2013 | Business
Janet Tavakoli

Facebook isn't the worst example of financial shenanigans that need investigation by the SEC, but I've chosen to give it attention recently because the general public can easily understand the mechanics of a stock pump and dump.

Deutsche Fired Top Trader After Complaints Of 'Substantial' Anomalies

Posted 08.24.2011 | Business

NEW YORK (Matthew Goldstein) - In the fall of 2009, Deutsche Bank quietly fired one of its top derivative traders in London after a colleague in N...

SEC Bracing To Lose Funds, Scaling Back Investigations

The Huffington Post | William Alden | Posted 05.25.2011 | Business

UPDATE: Reuters reports that U.S. financial regulators could be getting some budget soon under a spending bill released on Tuesday. Here's Reuters: ...

Insider Trading Probe Offers New Chance to Curb Hedge Fund Power

David Callahan | Posted 05.25.2011 | Business
David Callahan

It is never good to hear that large financial players may have broken the law, and the huge insider trading investigation unfolding on Wall Street is deeply troubling. But the upside to the probe is that it offers a chance to curb the outsized power of hedge funds.

SEC Investigating Deal Between JPMorgan And Hedge Fund Magnetar

Pro Publica | Jesse Eisinger and Jake Bernstein | Posted 05.25.2011 | Business

The Securities and Exchange Commission is investigating whether JPMorgan Chase allowed a hedge fund to improperly select assets for a $1.1 billion dea...

New SEC Trading Probes Eye Goldman Sachs, Apple

Dan Dorfman | Posted 05.25.2011 | Business
Dan Dorfman

Goldman Sachs and Apple, two of the hottest companies in the stock market, have caught the eye of investors, traders, and the SEC. The investigations are just two in a rash of new stock trading inquiries that the SEC recently fired off to the brokerage community.

SEC Investigates BP For Potential Insider Trading

Reuters | Posted 05.25.2011 | Business

WASHINGTON (Reuters) - U.S. securities regulators are investigating whether people may have illegally profited from trading on nonpublic information a...

Credit Default Swaps: First SEC Investigation Into Complex Securities

24/7 Wall Street | Posted 05.25.2011 | Business

Insider trading has a new face. Credit default swaps, long one of the least understood and least regulated sets of financial instruments can be used f...

Nancy Pelosi, Bill Clinton's Allen Stanford Fan Fest, Politicians Hugged, Praise Alleged Con Man

ABC News | JUSTIN ROOD and BRIAN ROSS | Posted 05.25.2011 | Business

Accused con man R. Allen Stanford used corporate money to become a big man at last year's Democratic convention in Denver. A video posted on the fir...