SEC Charges Health Care Co. and Two Former Employees for Accounting Improprieties
SEC
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Revealed: Credit Suisse leak unmasks criminals, fraudsters and corrupt politicians
THE GUARDIAN
Largest South Korean Telecommunications Co. Agrees to Pay the SEC to Settle FCPA Charges
SEC
Elon Musk Accuses SEC of Attacking His Right to Free Speech With 'Unrelenting' Probe
CNET
Tesla and Elon Musk lashed out at the US Securities and Exchange Commission on Thursday, accusing the agency of carrying out a "harassment campaign" against the CEO and his electric car company over a 2018 regulatory settlement. read more »
Regulators probe block trading at Wall Street banks, hedge funds
REUTERS
Federal investigators have launched a probe into block trading at Wall Street hedge funds and banks including Morgan Stanley (MS.N) and Goldman Sachs Group Inc (GS.N), the Wall Street Journal reported, citing people familiar with the matter. read more »
SEC Says It Won’t Limit Whistleblower Payouts
WSJ
The Securities and Exchange Commission said Thursday that it was revising two amendments governing the rules of its whistleblower program to address concerns that they would discourage tipsters from coming forward. read more »
SEC Proposed Changes to Two Whistleblower Program Rules
SEC
Private fund advisers to spell out fees, performance under new U.S. SEC proposals
REUTERS
The U.S. Securities and Exchange Commission (SEC) on Wednesday voted to propose heightened regulations meant to scrutinize how private fund advisers charge fees to investors and measure fund performance. read more »
CFTC Charges Florida-Based Entities and Individuals with Multi-Million Dollar Futures and Forex Fraud
CFTC
Justice Department’s False Claims Act Settlements and Judgments Exceed $5.6 Billion in Fiscal Year 2021
DOJ
SEC Files Fraud Charges Alleging a Multi-Million Dollar Scheme that Targeted Retirement Accounts
SEC
The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age.
Will the games stop? SEC mulls crackdown on trading apps
REUTERS
A year after the "meme stock" rally humbled hedge funds and roiled Wall Street, U.S. regulators are studying ways to crack down on psychological prompts used by Robinhood Inc (HOOD.O) and other commission-free brokers to promote frequent stock trading on smartphone apps. read more »
2021 at the U.S. Securities and Exchange Commission
SEC - YOUTUBE
SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
SEC
SCOTUS asks top lawyer: How much detail needed to plead false claims?
REUTERS
The U.S. Supreme Court on Tuesday signaled interest in a whistleblower’s lawsuit against Georgia-based Bethany Hospice and Palliative Care LLC by asking for Solicitor General Elizabeth Prelogar’s views of how much detail is necessary to plead fraud “with particularity” under the False Claims Act. read more »
Diabetic Shoe Company Agrees to Pay $5.5 Million to Resolve False Claims Act Allegations Regarding “Custom” Shoe Inserts
DOJ
UC San Diego Health Pays $2.98 Million to Resolve Allegations of Ordering Unnecessary Genetic Testing
DOJ
SEC Issues Awards Totaling More Than $4 Million to Two Whistleblowers
SEC
Father, son from Japan guilty in Vegas in $1.5B 'Ponzi' case
ABC
Two former investment executives from Japan have pleaded guilty in Las Vegas to wire fraud in what prosecutors have called a $1.5 billion international Ponzi scheme with 10,000 victims in the U.S. and abroad. read more »
SEC Awards Over $13 Million To Whistleblower
SEC
