The award could have been higher had the whistleblower not hesitated
Credit rating agency charged with misrepresenting its surveillance methodology for ratings of certain complex financial instruments
Hedge fund investors will benefit from access to information
The case is its first involving misstatements and omissions by an issuer of structured notes, the SEC says
Latour Trading charged with market structure rule violations
Brokerage firm to pay US$4.25 million penalty
Two U.S. audit firms and seven audit professionals also agreed to settle the SEC’s charges
Jaspen Capital Partners and its CEO agree to return funds to settle SEC allegations
The regulator’s compliance exams found weak suitability controls and significant weakness in supervision
Bank gave valuable internships to unqualified relatives of officials at a Middle Eastern sovereign wealth fund