SEC Awards Approximately $2.5 Million to Whistleblower

SEC

The Securities and Exchange Commission today announced an award of approximately $2.5 million to a whistleblower whose information and ongoing assistance to the staff significantly contributed to the success of an SEC enforcement action. read more »

Three Men Indicted for $30 Million Foreign Exchange Fraud Scheme

DOJ

A federal grand jury in the Southern District of Florida returned an indictment Thursday charging two U.S. citizens and a Dutch national with conducting a foreign exchange trading scheme to steal $30 million from their investor victims. read more »

U.S. SEC review of socially responsible funds finds 'potentially misleading' claims

REUTERS

The U.S. Securities and Exchange Commission on Friday said it has found “potentially misleading” claims and inadequate controls around investing environmental, social and governance (ESG) issues in a review of investment advisors and funds. read more »