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U.S. Securities and Exchange Commission

A collection of news and information related to U.S. Securities and Exchange Commission published by this site and its partners.

Top U.S. Securities and Exchange Commission Articles

Displaying items 100-110
  • Barclays takes $77 million hit from British and U.S. fines

    LONDON/NEW YORK (Reuters) - British bank Barclays was hit with a combined $77 million in fines from British and U.S. regulators on Tuesday as the lender continues to be dogged by problems from its past. Barclays was fined 38 million pounds ($62 million)...
  • Who will Obama appoint to replace Holder, and can the nominee get confirmed?

    Who will Obama appoint to replace Holder, and can the nominee get confirmed?
    Confirming a new attorney general to replace Eric Holder is certain to prompt a heated political debate during a robust post-election lame-duck session of Congress – one made especially more divisive if Democrats lose the Senate’s majority....
  • U.S. SEC wins hundreds of millions in Wyly fraud case

    NEW YORK (Reuters) - Texas tycoon Sam Wyly and his late brother Charles' estate must pay hundreds of millions of dollars to the U.S. Securities and Exchange Commission for a fraudulent offshore scheme, a U.S. judge said on Thursday, one of the largest...
  • Former Newport man pleads guilty in mail fraud case

    A former Newport Beach man pleaded guilty in federal court Monday to two counts of mail fraud for his role in running a fraudulent Internet company that raised nearly $13 million from investors in the late 1990s. James S. Eberhart, 73, has been in...
  • DoubleLine files with SEC to register Long Duration Bond Fund

    NEW YORK (Reuters) - Jeffrey Gundlach's DoubleLine Funds filed on Wednesday with the U.S. Securities and Exchange Commission to register shares of its Long Duration Total Return Bond Fund. The SEC filing said the Long Duration fund, which is expected to...
  • Glitches, complaints plague Ocwen, other mortgage servicers

    Glitches, complaints plague Ocwen, other mortgage servicers
    Tyesha Hansborough and her husband, Christley Paton, had paid the property insurance on their Inglewood home along with their mortgage, putting the money in escrow like most homeowners. Trouble is, the couple said, their mortgage servicer —...
  • SEC probing Goldman Sachs internship for brother of Libyan ex-official: WSJ

    (Reuters) - U.S. regulators are investigating a Goldman Sachs Group Inc internship for the brother of a former official at Libya's sovereign wealth fund and perks allegedly offered by the bank to the fund, the Wall Street Journal reported on Thursday,...
  • U.S. judge awards $40.7 million in SEC case over bitcoin Ponzi scheme

    U.S. judge awards $40.7 million in SEC case over bitcoin Ponzi scheme
    A U.S. federal judge in Texas ordered Bitcoin Savings and Trust and its owner to pay a combined $40.7 million after the Securities and Exchange Commission established that the company, which sold investments using the virtual currency, was a Ponzi scheme....
  • Wall Street regulator unveils proposals for dark pools, bond markets

    WASHINGTON (Reuters) - Wall Street's self-funded regulator unveiled a list of proposals on Friday to bolster rules governing alternative trading platforms like "dark pools," computerized high-speed trading, and price transparency in the corporate bond...
  • Man who ate napkins to conceal insider trading pleads guilty

    Man who ate napkins to conceal insider trading pleads guilty
    A Brooklyn, New York mortgage broker, who would scribble secret stock tips on napkins and pass them to an accomplice in Grand Central station before eating them, pleaded guilty to insider trading on Friday, federal prosecutors said. Frank Tamayo, 41, was...
  • U.S. options clearinghouse CEO to retire after year in top spot

    The chief executive of the clearinghouse for all U.S. stock options will retire from the company at the end of the year after one year in the role, the company said on Friday. Chicago-based OCC, formerly known as the Options Clearing Corp., did not...