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Displaying 31-40 out of 167 results for "Interest Rate Swaps".

Enforcement Actions: Week in Review - January 16th, 2015

(Jan 2015)

SEC ENFORCEMENT ACTIONS

SEC Charges Direct Edge Exchanges With Failing to Properly Describe Order Types
January 12, 2015 (Litigation Release No. 2)
In the first case focused on stock exchange order types, the SEC has settled with the EDGA and EDGX exchanges for $14 million over charges that they did not accurately describe their order types. These exchanges, formerly owned by Direct Edge Holdings before being acquired by BATS Global Markets, were found to have offered multiple "price...

Enforcement Actions: Week in Review - January 2nd, 2015

(Jan 2015)

SEC ENFORCEMENT ACTIONS

SEC Announces Charges Against N.Y.-Based Firm and Three Executives Accused of Siphoning Investor Money
December 29, 2014 (Litigation Release No. 294)
The SEC has charged VERO Capital Management, its president, general counsel, and CFO with channeling investors' money into a side venture. Robert Geiger, George Barbaresi and Steven Downey managed a pair of funds invested primarily in mortgage-backed securities at VERO Capital Management. The SEC alleges that, while in...

Enforcement Actions: Week in Review - December 23rd, 2014

(Dec 2014)

SEC ENFORCEMENT ACTIONS

SEC Charges Investment Manager F-Squared and Former CEO With Making False Performance Claims
December 22, 2014 (Litigation Release No. 289)
It's been announced today that F-Squared Investments has agreed to settle with the SEC over charges that they defrauded investors of their AlphaSector indices. The SEC alleged that F-Squared falsely claimed a seven year performance track record, created by applying their model to historical data. The backtested record is also...

Enforcement Actions: Week in Review - December 19th, 2014

(Dec 2014)

SEC ENFORCEMENT ACTIONS

SEC Charges Massachusetts-Based Scientific Instruments Manufacturer with FCPA Violations Rules
December 15, 2014 (Litigation Release No. 280)
The SEC charged Bruker Corporation approximately $2.4 million for violating the Foreign Corrupt Practices Act (FCPA). Bruker Corporation had insufficient internal controls which lead to approximately $230,000 in improper payments to various Chinese government officials. The improper payments enabled Bruker to realize...

Enforcement Actions: Week in Review - December 12th, 2014

(Dec 2014)

SEC ENFORCEMENT ACTIONS

SEC Sanctions Eight Audit Firms for Violating Auditor Independence Rules
December 8, 2014 (Litigation Release No. 272)
The SEC sanctioned the following firms for violating auditor's independence criteria: BKD LLP, Boros & Farrington Accountancy Corporation, Brace & Associates PLLC, Robert Cooper & Company CPA PC, Lally & Co LLC, Lerner & Sipkin CPAs LLP, OUM & Co LLP, and Joseph Yafeh CPA Inc. While performing audits for their broker-dealer clients, these firms...

Enforcement Actions: Week in Review - December 5th, 2014

(Dec 2014)

SEC ENFORCEMENT ACTIONS

SEC Charges California Resident With Fraudulent Sales of Stock
December 2, 2014 (Litigation Release No. 268)
The SEC has charged Vinay Kumar Nevatia for fraudulently selling $900,000 of private shares of CSS Corp. The SEC contends that Kumar, living in Palo Alto under several aliases, sold shares in 2011 and 2012 that he had already sold in 2008. Kumar has never been registered with the SEC.

SEC Announces Fraud Charges Against Two Executives in Scheme Involving...

Enforcement Actions: Week in Review - October 17th, 2014

(Oct 2014)

SEC ENFORCEMENT ACTIONS

SEC Obtains Summary Judgment Against Defendants in Securities Fraud Involving Biopharmaceutical Company
October 15, 2014 (Litigation Release No. 23114 )
On October 10, the US District Court for the Northern District of Illinois granted the Commission's motion for "summary judgment and for partial summary judgment, respectively, against Defendants Douglas McClain, Sr. ("McClain Sr."), of Fair Oaks, Texas, and Douglas McClain Jr. ("McClain Jr."), formerly of...

Enforcement Actions: Week in Review - October 10th, 2014

(Oct 2014)

SEC ENFORCEMENT ACTIONS

SEC Obtains Final Judgment Against Paul T. Mannion, Jr., Andrew S. Reckles, Pef Advisors LLC, and Pef Advisors Ltd.
October 8, 2014 (Litigation Release No. 23108 )
The SEC announced that on September 29, 2014, the US District Court for the Northern District of Georgia entered a final judgment against Paul T. Mannion, JR., Andrew S. Reckles, PEF Advisors LLC and PEF Advisors Ltd. The Court found that Mannion and Reckles, co-owners of both PEF Advisors entities, had...

Enforcement Actions: Week in Review - October 3rd, 2014

(Oct 2014)

SEC ENFORCEMENT ACTIONS

SEC v. Patrick G. Rooney, John R. Rooney, and Positron Corporation, Civil Action No. 9:14-cv-81224-KAM (U.S. District Court for the Southern District of Florida)
October 3, 2014 (Litigation Release No. 23103)
The SEC announced that on September 30, it had filed a civil injunctive action against Positron Corporation, Patrick Rooney, the company's former CEO and John R. Rooney, a promoter of penny stocks. Positron, a microcap company, as well as Patrick Rooney and...

Enforcement Actions: Week in Review - September 26th, 2014

(Sep 2014)

SEC ENFORCEMENT ACTIONS

Court Enters Final Judgments Against CEO and Executive Vice President of Company Involved in Pump-And-Dump Scheme Involving Fictitious Buyout Offer
September 25, 2014 (Litigation Release No. 23092)
The SEC announced that the US District Court for the District of Massachusetts entered final judgments against Maximilien Arella, CEO, and Ian Morrice, the Executive Vice President, both of Spencer Pharmaceutical Inc. (a microcap pharmaceutical company). Permanent...

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