Tags: sec

Purported Financial Professionals Using False Credentials To Attract Investors

June 7th, 2015
in econ_news

from the Securities and Exchange Commission The Securities and Exchange Commission today warned investors to thoroughly check the claimed credentials of people soliciting their investments to ensure they are not falsifying, exaggerating, or hiding fact… more »

Planning for Diminished Capacity and Illness

June 6th, 2015
in econ_news

from the Securities and Exchange Commission The SEC's Office of Investor Education and Advocacy and the CFPB's Office for Older Americans are issuing this bulletin to help investors and consumers understand the potential impact of diminished capacity o… more »

Merrill Lynch Admits Using Inaccurate Data For Short Sale Orders. Agrees To $11 Million Settlement.

June 1st, 2015
in econ_news

from the Securities and Exchange Commission The Securities and Exchange Commission today charged two Merrill Lynch entities with using inaccurate data in the course of executing short sale orders. Merrill Lynch agreed to admit wrongdoing, pay nearly $1… more »

Nationwide Life Insurance Company Fined By The SEC For Mail Delivery Irregularities

May 14th, 2015
in econ_news

from the Securities and Exchange Commission The Securities and Exchange Commission today charged Nationwide Life Insurance Company with routinely violating pricing rules in its daily processing of purchase and redemption orders for variable insurance c… more »

Bad Student Loans Evolve Into Fraud Charges Against ITT Educational Services

May 12th, 2015
in econ_news

from the Securities and Exchange Commission The Securities and Exchange Commission today announced fraud charges against ITT Educational Services Inc., its chief executive officer Kevin Modany, and its chief financial officer Daniel Fitzpatrick.… more »




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