OIG unable to determine the source of a leak of confidential information from a closed-door commission meeting
Frank Speight faces five years in prison for stealing US$3.3 million from investors
Citigroup unit LavaFlow settles without admitting or denying SEC’s findings
Client settlements can’t force a clean record
Funds required to float their share price
Threat posed by by correspondence purporting to be from the SEC
SEC order says that a pilot program expected to last a year will allow it to further study the impact of decimalization on the trading of small-cap stocks
Hedge fund advisory firm charged over whistleblower retaliation
There have been episodes of cancelled certificates being stolen, and later turning up in securities fraud
Dark pool operator accused of using of customer trading data to market its services