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)

    … issues with our foreclosure sale processes, which is always a last resort for us. I am especially proud of the strong modification results during the quarter which helped over 18,000 struggling families. The financial crisis has not ended for many families in this country, and the Ocwen team continues to provide caring solutions that work.” Lewis…

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

    …” or “administration/transport charges.” According to the SEC, Shell’s agents paid $3.5 million in suspicious payments to local officials. The Justice Department and SEC ultimately fined Royal Dutch Shell and its affiliates for violating the Foreign Corrupt Practices Act. The companies had to disgorge $14,153, 536 and an additional $4 million…

    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- 20 readers -
  • Concealed or Hidden Investment Fees? SEC Whistleblower Post

    … for SEC Whistleblower actions. The whistleblower lawyers at MahanyLaw are investigating claims that investment funds are overcharging or concealing fees from investors. If you have inside information about one of these violations, please contact us immediately. You may be entitled to a large cash award through the SEC whistleblower program. Keep…

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

    … No one wants to that their whistleblower case was declined. Yet it happens with most cases. On average, the Justice Department only intervenes in 20% of the False Claims Act cases filed. That means your odds in winning through government intervention are 1:5. (The odds of winning the Powerball jackpot are 1:292,200,000!) Most folks that file…

    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

    … by the American Securities and Exchange Commission (SEC) and the Department of Justice. For whistleblowers in the U.S., the SEC offers potent anti-retaliation tools and will frequently enter a case on its own to protect a whistleblower. The best protection, however, may be your anonymity. The SEC has a long and successful history of protecting…

    Due Diligence- 15 readers -
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