Search Results for: Securities and Exchange Commission
SEC charged Two men and Eight companies with defrauding investors
July 31st, 2015
The Securities and Exchange Commission today charged two men and eight companies with defrauding investors, many of them upstate New York residents, who purchased the companies’ securities and so-called “charitable gift annuities.” According to the SEC’s complaint filed in ...
Investment Technology Group (ITG) in talks to settle SEC Probe and announces preliminary Second Quarter Earnings
July 30th, 2015
ITG announces Preliminary Second Quarter 2015 Earnings Guidance, including Reserve for Probable SEC Settlement The firm informs that expects its results for the second quarter of 2015 to be a GAAP net loss of $10.2 million, or $0.30 per ...
SEC Charges Purported Investment Adviser With Stealing Client Funds and Conducting a Ponzi Scheme
July 17th, 2015
The Securities and Exchange Commission charged a purported investment adviser in San Diego with stealing money from clients for personal use and conducting a Ponzi scheme to pay customers making redemption requests. In a complaint filed in federal court in ...
SEC: OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers’ Records and “Blue Sheets”
July 15th, 2015
The Securities and Exchange Commission today charged OZ Management LP with providing inaccurate trade data to four prime brokers, causing inaccuracies in the brokers’ books and records and in data provided to the SEC in investigations. OZ Management, an ...
BCSC panel fines and permanently bans North Vancouver man and two U.S. citizens for market manipulation
July 14th, 2015
A British Columbia Securities Commission (BCSC) panel has fined Mark Aaron McLeary, Robert Hainey, and Jerry Williams for engaging in market manipulation of shares in a company quoted on the U.S. Over-the-Counter Bulletin Board (OTCBB). The panel also permanently ...
Hellenic Capital Market Commission (HCMC) announcement July 9, 2015
July 9th, 2015
July 9, 2015 – The Hellenic Capital Market Commission (HCMC), following the decisions of the 29th and the 30th of June 2015 regarding the emergency measures for the Greek capital market, and following the Decision of the Minister of Finance ...
Hellenic Capital Market Commission (HCMC) announcement
July 7th, 2015
July 7, 2015 – The Hellenic Capital Market Commission (HCMC), following the decisions of the 29th and the 30th of June 2015 regarding the emergency measures for the Greek capital market, and following the Decision of the Minister of Finance ...
SEC Charges Oil Company and CEO in Scheme Targeting Chinese-Americans and EB-5 Investors
July 7th, 2015
The Securities and Exchange Commission today charged a Bay Area oil and gas company and its CEO with running a $68 million Ponzi-like scheme and affinity fraud that targeted the Chinese-American community in California and investors in Asia, including ...
Athens Stock Exchange: Announcement
June 29th, 2015
The Hellenic Capital Market Commission (HCMC), during its 715th/ 29.6.2015 Board of Directors’ meeting decided the following: a. The ATHEX regulated market and the Multilateral Trading Facility of “EN.A” (Alternative Market of the Athens Exchange) shall remain closed, throughout ...
Calypso Signs Global Reseller Agreement With SAP, Uniting Best-in-Class Banking and Capital Markets Solutions
June 24th, 2015
Calypso Cross-Asset, Front-to-Back Platform Complements SAP’s Financial Services Portfolio for Capital Markets, Enabling Consolidation, Simplification, Growth for Customers Calypso Technology, Inc., the standard for treasury and capital markets software, has entered into a global reseller agreement with SAP (NYSE: ...
