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Sixty-six SEC whistleblowers were awarded $387 million for a “job well done,” according to the commission's whistleblower attorney Stephen Kohn.
November 11 -
As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.
November 6 -
The court is taking up a challenge to one of the agency’s most potent legal weapons.
November 4 -
The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.
September 5 -
The bank will pay $1.25 million for alleged supervisory failures.
July 29 -
The penalties come three months after Merrill Lynch settled similar charges.
June 18 -
The bank allegedly helped French clients evade taxes.
May 2 -
The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.
April 30Cipperman Compliance Services -
The justices said bankers can be held liable for sending clients deceptive information written by others.
March 28 -
The regulator also faulted Merrill’s supervisory policies and procedures.
March 26