Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/post_company/securities-and-exchange-commission/ Canada's news source for financial professionals Mon, 02 Feb 2026 22:37:28 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/post_company/securities-and-exchange-commission/ 32 32 Boiler room brokers plead guilty https://www.investmentexecutive.com/news/from-the-regulators/boiler-room-brokers-plead-guilty/ Tue, 03 Feb 2026 13:00:03 +0000 https://www.investmentexecutive.com/?p=530846 Long-running scheme misled investors on stock markups, fees

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]]> U.S. advisor gets jail for defrauding clients https://www.investmentexecutive.com/news/from-the-regulators/u-s-advisor-gets-jail-for-defrauding-clients/ Mon, 02 Feb 2026 13:00:27 +0000 https://www.investmentexecutive.com/?p=530749 Court orders prison, restitution for misappropriating investors' money

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]]> SEC settles accounting fraud allegations https://www.investmentexecutive.com/news/sec-settles-accounting-fraud-allegations/ Wed, 28 Jan 2026 19:22:57 +0000 https://www.investmentexecutive.com/?p=530492 Company, executives agree to settle allegations, pay US$41 million

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]]> U.S. securities class-action filings down, damages up https://www.investmentexecutive.com/news/u-s-securities-class-action-filings-down-damages-up/ Wed, 28 Jan 2026 19:19:27 +0000 https://www.investmentexecutive.com/?p=530485 Increase in claimed class-action damages points to larger settlements

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]]> SEC alleges SPAC deal based on fraud https://www.investmentexecutive.com/news/sec-alleges-spac-deal-based-on-fraud/ Tue, 27 Jan 2026 21:10:19 +0000 https://www.investmentexecutive.com/?p=530386 Execs falsely inflated firm's revenues to enable acquisition, regulator charges

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]]> Biotech exec gets prison for securities fraud https://www.investmentexecutive.com/news/biotech-exec-gets-prison-for-securities-fraud/ Mon, 26 Jan 2026 19:46:39 +0000 https://www.investmentexecutive.com/?p=530271 Ex-CEO misled investors over regulatory approval for new drugs

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]]> Clinical trial results drove insider trading: SEC https://www.investmentexecutive.com/news/clinical-trial-results-drove-insider-trading-sec/ Thu, 15 Jan 2026 20:23:07 +0000 https://www.investmentexecutive.com/?p=529535 U.S. authorities allege biostatistician traded on cancer drug data

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]]> SEC drops accounting fraud case against mining exec https://www.investmentexecutive.com/news/sec-drops-accounting-fraud-case-against-mining-exec/ Tue, 13 Jan 2026 14:24:40 +0000 https://www.investmentexecutive.com/?p=529201 Regulator settled with Rio Tinto, former CEO in 2023

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]]> The banker, the brothers, the friends and their frauds https://www.investmentexecutive.com/news/the-banker-the-brothers-the-friends-and-their-frauds/ Wed, 07 Jan 2026 15:05:45 +0000 https://www.investmentexecutive.com/?p=528817 SEC, DoJ charge six in market manipulation, insider trading schemes

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]]> Whistleblower rewards out of fashion with U.S. regs https://www.investmentexecutive.com/uncategorized/whistleblower-rewards-out-of-fashion-with-u-s-regs/ Mon, 22 Dec 2025 13:00:16 +0000 https://www.investmentexecutive.com/?p=528233 CFTC pays second award of 2025, SEC's payouts out of the spotlight

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