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

    …. It may be difficult or impossible to identify these activities from outside of the organization or company. For example: The Securities & Exchange Commission (SEC) received almost 4,000 tips (2015) that involved a variety of white-collar crimes, including corruption and bribes. The Federal Bureau of Investigation (FBI) says that white-collar…

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

    … “significant harm” to its customers. As if Ocwen isn’t the real cause of harm to customers! What started as a regulatory order from the Massachusetts Division of Banks has turned into a full-fledged court battle. And now state Attorney General Maura Healey is jumping into the fray. In what should come as no surprise to many Ocwen customers, Healey…

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

    … investigation by Italian and Dutch prosecutors has now been expanded to 6 countries including the United States. Shell’s exposure in the United States could be huge since it was already subject to a deferred prosecution agreement for an earlier incident involving illegal payments to Nigerian officials. Between 1999 and 2005, Shell was developing another oil…

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

    … Where there is smoke, there is often fire. We have all heard that adage and its usually true. Netherlands based ING disclosed that it is being investigated by both Dutch and American authorities. According to a recently filed SEC disclosure, “ING Bank is the subject of criminal investigations by Dutch authorities regarding various requirements…

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

    … it charges customers, that same company was in trouble two more times in the following months. Citigroup $18 Million SEC Action On January 26th, Citigroup affiliate Citigroup Global Market agreed to pay $18.3 million to settle charges that the company overcharged investment advisory clients. The Commission found that over 60,000 investment clients…

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

    … declines to prosecute. The same is true under most state whistleblower laws. Other Types of Whistleblower Claims – FIRREA, SEC & IRS If the case is a FIRREA (banking fraud whistleblower claim), SEC or IRS whistleblower case, there is no right to pursue the claims once the case is declined. Unfortunately, the decline rates in these cases are also…

    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

    … and employment matters. The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality…

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

    … of securities for financial investors including Securities Fraud, Unauthorized Trading, Breach of Fiduciary Duty, Retirement Planning Negligence, and much more. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. If you are in need of legal services, contact us to schedule a one-on-one…

    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- 13 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 -
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