Sec

The U.S. Securities and Exchange Commission (SEC) is an agency of the United States federal government. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States.In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes.
Posts about Sec
  • The Different Types of White-Collar Crime Laws in Texas

    … includes a range of non-violent crimes that the offender typically commits to attaining financial gains. Have you been accused of a white-collar crime in Texas? Contact The Law Office of Matthew D. Sharp today >> Overview of White-Collar Crime White-collar criminal offenses may include: Healthcare fraud Insider trading (securities fraud…

    The Law Office of Matthew D. Sharp- 9 readers -
  • OCWEN – The Ugly Beast is Still Alive (Whistleblower Post)

    … with the SEC. Despite dozens of states trying to shut down the company, Ocwen’s CEO Ronald Faris reported: “One area where we continue to invest is in strengthening our risk and compliance infrastructure. Numerous external and internal compliance reviews over the past year show the strength of our control structure. For example, each of the last…

    Due Diligence- 14 readers -
  • Shell Oil Guilty of FCPA Foreign Bribery? (Whistleblower Award Post)

    … by Foreign Bribery We have long written about corruption in the oil and mining industries. In the words of Global Witness, “The oil, gas and mining sector is the most corrupt on the planet, according to a study of hundreds of bribery cases by the Organisation for Economic Cooperation and Development (OECD). Half of these cases implicated senior management…

    Due Diligence- 16 readers -
  • ING Bank Subject to Dutch, SEC Probe – Whistleblower Opportunity

    … institutions from identifying and interdicting prohibited transactions. The practice of removing and omitting such information was also used by other branches of ING Bank’s Wholesale Banking Division, including in France, Belgium, and the Netherlands, in processing U.S. dollar payments and trade finance transactions through the United States…

    Due Diligence- 19 readers -
  • Concealed or Hidden Investment Fees? SEC Whistleblower Post

    … reading for more details. Hidden Investment Fees When it comes to hidden investment fees, what you don’t know really can hurt you. The U.S. Department of Labor believes that investors lose over $17 billion per year in concealed, incorrect and hidden fees. (Warren Buffett says the number may be closer to $100 billion.) Many funds and investment products…

    Due Diligence- 12 readers -
  • My Government Whistleblower Case Was Declined, Now What?

    … Background – Whistleblower Case Procedures To answer the question of why whistleblower cases are declined, some procedural history is needed. America’s primary whistleblower tool is the False Claims Act. Congress adopted the Act in 1863. Since then, 29 states have adopted similar False Claims Acts. (There were 30 states but Wisconsin repealed…

    Due Diligence- 13 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force (6th Article)

    …. FINRA will file a proposal with the SEC to amend FINRA Rule 12800 of the Customer Code and FINRA Rule 13800 of the Industry Code to provide different hearing options for small claims valued at $50,000 or less. The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. The securities lawyers…

    Eccleston Law Offices- 15 readers -
  • Significant Hedge Fund Failures

    … Significant Hedge Fund Failures Posted on Wednesday, March 1, 2017 at 10:48 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Investing in a hedge fund is risky and can be catastrophic. Here is a list of 4 significant hedge fund failures. Bayou Group: Bayou Group in 2003 attracted a large amount of capital. However, in 2005 the SEC…

    Eccleston Law Offices- 11 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    … that FINRA sends parties during the arbitration panel selection process from 10 to 15 arbitrators in cases with three arbitrators. The SEC approved the proposed rule change on September 14, 2016 and the change became effective on January 3, 2017. The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities…

    Eccleston Law Offices- 10 readers -
  • RIA Found Guilty of Misappropriating Funds from Mike Tyson

    … RIA Found Guilty of Misappropriating Funds from Mike Tyson Posted on Friday, February 24, 2017 at 12:13 PM From the Desk of Jim Eccleston at Eccleston Law LLC: Brian Ourand, a former registered investment adviser in Washington, D.C. was found guilty by the SEC for misappropriating funds from his clients, which included many professional…

    Eccleston Law Offices- 9 readers -
  • Morgan Stanley to Pay an $8 Million Penalty

    … Morgan Stanley to Pay an $8 Million Penalty Posted on Wednesday, February 22, 2017 at 8:59 AM From the Desk of Jim Eccleston at Eccleston Law LLC: Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing in order to settle charges by the SEC. According to the complaint, the SEC alleged that Morgan Stanley did…

    Eccleston Law Offices- 14 readers -
  • New Recommendations by the FINRA Dispute Resolution Task Force

    … that FINRA sends parties during the arbitration panel selection process from 10 to 15 arbitrators in cases with three arbitrators. The SEC approved the proposed rule change on September 14, 2016 and the change became effective on January 3, 2017. The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities…

    Eccleston Law Offices- 14 readers -
  • Venezuela Public Corruption and Fraud: More Whistleblowers Needed

    … out of the country is illegal. Of course, a ready black market opened to smooth the way for corrupt officials who want to get their money out of Venezuela. The country has also become much more violent. Kidnappings and homicides are off the charts. When Chavez took power the murder rate was less than 20 per 100,000 people. Now it hovers around 100…

    Due Diligence- 15 readers -
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