The Bank of America unit violated broker-dealer rules that require customer cash and securities be safeguarded in case a firm fails.
The California-based adviser lied about being a CPA and funneled $33 million to a struggling online ticket business.
The U.S. Supreme Court dismissed a lawsuit filed by the European Union that claimed Reynolds American engaged in a pattern of racketeering activity.
An SAP America executive received thousands of dollars in kickbacks for tipping his close friend in advance of SAP's purchase of Concur Technologies.
The two executives have settled SEC charges that they used false inventory accounting to meet IEC's gross profit margin targets.
“Akamai and Nortek each promptly tightened their internal controls after discovering the bribes and took swift remedial measures," said an SEC…
Michael Maciocio allegedly misused confidential information about potential Pfizer deals to make trades himself and tip off a stockbroker friend.
The SEC says Haena Park misrepresented her trades were profitable while losing more than $16 million in investor funds since 2012.
The SEC says JSG Capital targeted retail investors, promising high-return investment opportunities “previously only available to the…
U.S. regulators allege Citi manipulated key swaps and interest rate benchmark to benefits its own trading positions.