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Stories with organization: U.S. Securities and Exchange Commission
  • Ex-J.P. Morgan analyst pleads not guilty to insider trading 
    Updated: Aug-25-15 9:46 pm

    LOS ANGELES - A former J.P. Morgan Securities analyst in California pleaded not guilty Tuesday to taking part in insider trading that prosecutors say netted more than $600,000.

  • Appeals court rejects challenge to SEC 'pay-to-play' rule 
    Updated: Aug-25-15 12:57 pm

    WASHINGTON - A federal appeals court has thrown out a lawsuit brought by Republican Party officials in two states challenging a federal rule that restricts campaign contributions of investment advisers.

  • BNY Mellon paying $14.8M to settle charges on foreign fund 
    Updated: Aug-18-15 2:08 pm

    WASHINGTON - Wall Street bank BNY Mellon has agreed to pay $14.8 million to settle federal civil charges of attempting to influence officials of a Middle Eastern sovereign wealth fund by giving internships to their family members.

  • 2 Citigroup affiliates paying $179.5M to resolve SEC case 
    Updated: Aug-17-15 1:10 pm

    WASHINGTON - Two Citigroup Inc. affiliates have agreed to pay $179.5 million to resolve federal regulators' charges of misleading investors in hedge funds that later collapsed.

  • Edward Jones to pay $20M to settle federal bond sales probe 
    Updated: Aug-13-15 12:41 pm

    ST. LOUIS - Edward Jones has agreed to pay more than $20 million to settle claims by federal regulators that the brokerage firm and its former head of municipal underwriting overcharged customers in new municipal bonds sales, the U.S. Securities and Exchange Commission announced Thursday.

  • ITG to pay $20M on SEC charges it ran secret trading desk 
    Updated: Aug-12-15 11:47 am

    NEW YORK - Investment Technology Group Inc. will pay a record $20.3 million to settle charges that it ran a secret trading desk that used confidential customer trading information for profit, including bets against its customers.

  • Hacking ring accused of making $100M on stolen news releases story has photos
    Updated: Aug-12-15 2:40 am

    NEWARK, New Jersey - In late October 2013, Panera Bread Co., the national chain of restaurants that specializes in healthy soups and baked goods, prepared a news release to announce it was adjusting its earnings expectations downward for the recently begun fourth quarter.

  • The Latest: Man, son face fraud charges in hack-trade scheme 
    Updated: Aug-11-15 6:15 pm

    NEWARK, New Jersey - The latest on charges against Ukrainian hackers accused of working with American securities traders to hack into the computer systems of companies that publish news releases and trade on the information (all times local):

  • Miller Energy charged with inflating company's value 
    Updated: Aug-07-15 2:43 pm

    ANCHORAGE, Alaska - Miller Energy Resources Inc. and two of its former executives have been charged with inflating the values of the company's oil and gas properties in Alaska by more than $400 million.

  • SEC requires companies to reveal CEO-vs-worker pay gap story has photos
    Updated: Aug-05-15 6:56 pm

    WASHINGTON - Federal regulators have approved a long-delayed rule requiring companies to reveal the pay gap between CEOs and their employees.

  • Clarification: Pimco-SEC story 
    Updated: Aug-04-15 2:46 pm

    NEW YORK - In a story Aug. 3, The Associated Press reported that the investment management company Pimco said the Securities and Exchange Commission may take legal action against its total return fund. The story should have made clear that the inquiry involves only Pimco's Total Return Active Exchange Traded Fund.

  • Houston businessman charged with running Ponzi scheme 
    Updated: Aug-03-15 4:16 pm

    HOUSTON - A Houston-area businessman charged by the Securities and Exchange Commission with defrauding investors of $114 million through a Ponzi scheme has agreed to return allegedly ill-gotten gains with interest.