OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
CFTC and State of Utah Amend Their Complaint…
The Commodity Futures Trading Commission (CFTC) and the Utah Department of Commerce, Division of Securities, through its Attorney General (State of Utah) filed an amended complaint alleging that Denise Gunderson Rust(Denise Rust) and Joshua Daniel Rust (Joshua Rust)…
SEC Charges Former Panasonic Executives
Washington D.C., Dec. 18, 2018 — The Securities and Exchange Commission today charged two former senior executives of the U.S. subsidiary of Panasonic Corp. with knowingly violating the books and records and internal accounting controls…
SEC Charges Self-Described Promoter With Microcap Market Manipulation…
Washington D.C., Nov. 28, 2018 — The Securities and Exchange Commission today charged a self-described penny stock promoter and an entity he controlled with orchestrating a scheme to manipulate trading in at least 97 microcap…
FINRA Explains Rule Making Process
[caption id="attachment_315436" align="alignleft" width="153"] Jonathan Sokobin, FINRA’s Chief Economist[/caption] A lawyer and doctor got together, and it was not the subject of a bad joke. Instead, they were the latest guest of FINRA’s podcast, Unscripted,…
SEC Charges Ameriprise Financial Services for Failing to…
Washington D.C., Aug. 15, 2018 — The Securities and Exchange Commission today announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to safeguard retail investor assets from theft…
SEC Charges Cloud Communications Company and Two Senior…
Washington D.C., Aug. 7, 2018 — The Securities and Exchange Commission today charged a cloud communications company and two executives with providing misleading quarterly revenue estimates. The company and executives agreed to pay over $1.9…
SEC Charges Recidivist in Stock Manipulation Scheme
Washington D.C., July 27, 2018 — The Securities and Exchange Commission today charged Howard M. Appel with Stock Manipulation Scheme of three microcap companies while on supervised release following his criminal conviction for a prior…
Elizabeth Baird and Christian Sabella Named Deputy Directors…
Washington D.C., July 25, 2018 — The Securities and Exchange Commission today announced that Elizabeth Baird and Christian Sabella have been named Deputy Directors in the Division of Trading and Markets. Ms. Baird joins the SEC…