BOK Financial allegedly failed to warn investors of problems involving the bond offerings of accused fraudster Christopher Brogdon.
An appeals court "ups the ante" for finance chiefs who certify that SEC filings include no material misstatements or omissions.
American Realty Capital Partners' former CFO Brian Block allegedly manipulated the calculation of adjusted funds from operations.
The SEC says the head of Empowered Products hid behind an alias to recommend to investors that they buy the penny stock.
Donald Watkins allegedly lied to investors that their money would be used to fund Masada Resource Group's green tech ventures.
The co-CEOs of Enviro Board allegedly made bogus financial projections for a product that had a "protracted history of commercial failure."
The SEC says 13 firms negligently relied on F-Squared's false performance claims about an ETF product in promoting it to their customers.
The bank will receive $645 million from the WaMu receivership estate in exchange for dropping more than $1 billion in indemnification claims.
Edwin Chin allegedly misrepresented the terms of RMBS trades to increase Goldman's profits and his own compensation.
Merrill Robertson and his partner in an investment firm allegedly stole from investors to finance their "luxurious" lifestyles.