Charges follow a year-long SEC investigation focusing on preventing fraud in the micro-cap stock markets
An effective risk based branch office inspection program can better protect investors and the firm’s own interests
Neither admitting or denying the contents of a regulatory order leaves the court with no basis to judge the merits of the deal
New Futures Trading raised over US$1.3 million from investors
Firm to pay US$3.3 million to settle charges
U.S. regulator ordered more than US$2.8 billion in penalties and disgorgement in its latest fiscal year
Hedge fund manager slapped with record fine for illegal insider trading
Self-regulatory organization must undergo review of policies and procedures
Rule divides private fund advisors into two broad groups by size, and the amount of information they must report and the frequency of reporting
Gupta charged with securities fraud