US Securities and Exchange Commission

JPMorgan Being Investigated Over 'Completeness' Of Bank's Financial Reporting

AP | MARCY GORDON | Posted 05.22.2012

Read More: Sec Jpmorgan, Jpmorgan Trading Loss, Video, Senate Banking Committee, Reuters, SEC Chairman Mary Schapiro, Sec, U.S. Securities and Exchange Commission, Jpmorgan Sec, Business News

WASHINGTON — Federal regulators are reviewing what JPMorgan Chase told investors about its finances and the risks it took weeks before suffering...

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Ex-Yahoo Director Charged With Insider Trading

Reuters | Basil Katz | Posted 05.23.2012

Read More: U.S. Securities and Exchange Commission, Insider Trading, Illegal Profits, Video, Reuters, Modflow, Reema Shah, Microsoft, Autodesk, Robert Kwok, Ameriprise Financial Inc, Yahoo Illegal Trades, Yahoo, Business News

By Basil Katz (Reuters) - Federal prosecutors on Monday announced insider trading charges against a former Yahoo employee and a fund ma...

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Watchdog Suspended For Wanting To Carry A Gun

Reuters | Posted 05.11.2012

Read More: U.S. Securities and Exchange Commission, Video, Integrity Committee, Law Enforcement, At-Risk, Council of Inspectors General on Integrity and Efficiency, Federal Deposit Insurance Corp, David Weber, Reuters, Watchdog, Sec, Bullet Proof Vest, Special Counsel for Enforcement at the Office of the Comptroller of the Currency, Gryphon Strategies, Business News

(Adds background about investigation into Weber in a previous job and detail throughout) By Sarah N. Lynch WASHINGTON, ...

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Mexico Unlikely To Investigate Walmart Bribery Allegations

Reuters | Posted 04.25.2012

Read More: Corruption, Walmart, U.S. Securities and Exchange Commission, Video, Enrique Pena Nieto, U.S. Foreign Corrupt Practices Act, Reuters, New York Times, Bribery, U.S. Department of Justice, Business News

MEXICO CITY, April 24 (Reuters) - Nearly half of Mexico's state prosecuting authorities said on Tuesday they had no immediate plans to investigate a...

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BATS CEO: IPO Debacle 'Completely Regrettable And Very Painful'

Reuters | Posted 05.25.2012

Read More: U.S. Securities and Exchange Commission, Video, Stock Market, Reuters, Nasdaq, Ipo, BATS Global Markets, Joe Ratterman, Dave Cummings, New York Stock Exchange, Initial Public Offering, Business News

(Recasts; adds details) By Jonathan Spicer NEW YORK, March 25 (Reuters) - U.S. exchange operator BATS Global Markets withdrew its initial...

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Automaker CEO Suddenly Way Richer

Reuters | Posted 05.06.2012

Read More: U.S. Securities and Exchange Commission, Automaker, Shareholders, Video, United Auto Workers, Reuters, Bob King, Chrysler Group LLC, Financial Crisis, Ford Motor Co Chief Executive Alan Mulally, General Motors Co, Business News

By Deepa Seetharaman March 6 (Reuters) - Ford Motor Co Chief Executive Alan Mulally was awarded shares in the No. 2 U.S. automaker wh...

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Bank Loan Rates Could Spike Following Money Market Rules

Reuters | Posted 04.08.2012

Read More: Fidelity Investments, Bnp, U.S. Securities and Exchange Commission, Video, Mutual Funds, Lehman Brothers, Investment Company Institute, Net Asset Value, Federal Deposit Insurance Corp, Reuters, Money Market Funds, Wall Street Journal, Business News

By Karen Brettell NEW YORK, Feb 7 (Reuters) - The cost for banks and other borrowers to raise funds in short-term markets could jump ...

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BofA Arm Loses Big In Customer Lawsuit

Reuters | Posted 04.02.2012

Read More: U.S. Securities and Exchange Commission, Merrill Lynch, Consumer Fraud, Debt, Cdos, Video, Financial Industry Regulatory Authority, Securities, Loans, Reuters, Bank of America Corp, Business News

(Adds details) By Suzanne Barlyn Feb 1 - Bank of America Corp's Merrill Lynch unit must pay nearly $1.4 million in dama...

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How Ex-SEC Officials Aided A Ponzi-Schemer

Reuters | Posted 03.28.2012

Read More: R. Allen Stanford, U.S. Securities and Exchange Commission, Video, Reuters, Thomas Sjoblom, Proskauer Rose, Bernard Madoff, Sec, Ponzi-Scheme, The Justice Department, Business News

(Refiles to fix typo in story list) * Former SEC attorneys worked for Ponzi-scheme suspect By Murray Waas ...

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Major Regulator Loses Top Watchdog

Reuters | Posted 03.18.2012

Read More: David Kotz, U.S. Securities and Exchange Commission, Video, Sec-Inspector-General, Reuters, Business News, Securities and Exchange Commission, David Kotz Sec Inspector General, Business News

WASHINGTON, Jan 17 (Reuters) - David Kotz, the inspector general at the U.S. Securities and Exchange Commission who has a reputation as a tough watc...

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Regulators Need To Clarify Stance On High-Frequency Trading, NYSE Exec Says

Posted 11.12.2011

Read More: High-Frequency Trading, U.S. Securities and Exchange Commission, Video, Nyse, Hedge Funds, European Union, Electronic Trading, Barclays, Flash Crash, New York Stock Exchange, Financial Regulation, Business News

(Jonathan Spicer) - It's time for market regulators to clear the air on high-frequency trading, a top Big Board executive said. NYSE Euronext's...

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Ex-Playboy CEO's Husband Settles In Insider Trading Case

Posted 10.03.2011

Read More: Fraud, Hugh Hefner, U.S. Securities and Exchange Commission, Insider Trading, Sec, Playboy Bunnies, Iconix Brand Group Inc, Playboy Enterprises Inc, Christie Hefner, William Marovitz, Video, Business News

NEW YORK ( Jonathan Stempel) - The husband of former Playboy Enterprises Inc Chief Executive Christie Hefner agreed to pay $168,352 to settle regu...

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After Mistakes With Madoff, Regulators Modernize Handling Of Tips

Posted 09.26.2011

Read More: Onzi Scheme, Fraud, U.S. Securities and Exchange Commission, Goldman Sachs, "Tips, Mary Schapiro, Fbi, China Voice Holding Corp, Complaints and Referrals", Bernard Madoff, Sec, Office of Market Intelligence, Citigroup, Business News

(Sarah N. Lynch and Matthew Goldstein) - For more than three years, U.S. securities regulators investigated allegations of accounting fraud at a s...

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SEC Subpoenas JPMorgan Over Failed Mortgages

Posted 07.06.2011

Read More: Securitzed Home Loans, JPMorgan Chase, Failed Mortgages, Jpmorgan Subpoena, Credit Suisse, Mbia, US Securities and Exchange Commission, Business News

JPMorgan Chase & Co has received a subpoena from the U.S. Securities and Exchange Commission over failed mortgages, Bloomberg said, citing a perso...

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