The Securities and Exchange Commission today charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase microcap stocks to manipulate the… Full report at: Read More

The Securities and Exchange Commission today announced that Monique C. Winkler has been named Regional Director of the San Francisco Regional Office. Ms. Winkler has served as the office’s Acting Regional Director since March 2022 and as the Associate… Full report at: Read More

The Securities and Exchange Commission today announced that Nicholas P. Grippo has been named Regional Director of the Philadelphia Regional Office, effective September 12, 2022. Mr. Grippo currently serves as Chief of the Criminal Division for the U.S.… Full report at: Read More

The Securities and Exchange Commission today announced that Lori H. Price has been named Director of the Office of Credit Ratings (OCR), effective Aug. 14, 2022. She has served as Acting Director since February 2022 and has more than 30 years of… Full report at: Read More

The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments, which the Commodity Futures Trading Commission (CFTC) is… Full report at: Read More

The Securities and Exchange Commission today charged Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi for misleading investors about the firm’s fix-and-flip loan securitization’s delinquency rates. Angel Oak and… Full report at: Read More

The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action.   The first whistleblower prompted the opening of the… Full report at: Read More

The Securities and Exchange Commission today proposed new rules to help improve governance arrangements across all registered clearing agencies by reducing the likelihood that conflicts of interest may influence the board of directors or equivalent… Full report at: Read More

The Securities and Exchange Commission today charged Surgalign Holdings, Inc., formerly RTI Surgical Holdings, Inc., and former executives Brian Hutchison and Robert Jordheim for masking disappointing sales numbers by shipping future orders ahead of… Full report at: Read More

The Securities and Exchange Commission today announced the appointment of Anthony (Tony) C. Thompson to a second term as a Board Member of the Public Company Accounting Oversight Board (PCAOB). Mr. Thompson joined the Board on January 3, 2022, filling a… Full report at: Read More