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Former SEC Lawyer pleads guilty to fraud in Dreier investment scheme
November 10, 2009
[JURIST] Former Securities and Exchange Commission(SEC) [official website] lawyer Robert Miller pleaded guilty [plea agreement, PDF] in the US District Court for the Southern District of New York [official website] to one count [criminal information, PDF] of securities fraud and one count of conspir....... [more] 
House finance committee approves investor protections bill
November 5, 2009
[JURIST] The US House of Representatives Financial Services Committee [official website] on Wednesday voted 41-28 [press release; record vote, PDF] for passage of the Investor Protection Act [HR 3817 materials]. Among the regulations included in the bill are an enhancement of powers for the Securiti....... [more]
House committee approves new investment rating regulations
October 28, 2009
[JURIST] The US House Financial Services Committee [official website] voted 49-14 Wednesday to approve new regulations governing investment rating agencies. The Investor Protection Act [HR 3817 text, PDF], sponsored by Paul Kanjorski (D-PA) [official website], modifies the Securities Exchange Act of....... [more]
Madoff victims file $2.4 million negligence suit against SEC
October 15, 2009
[JURIST] Two of the victims of Ponzi scheme perpetrated by Bernard Madoff [JURIST news archive] sued the US Securities and Exchange Commission (SEC) [official website] in federal court on Wednesday, seeking $2.4 million in damages. The complaint [text, PDF], filed in the US District Court for the So....... [more]
Federal judge rejects SEC-Bank of America settlement, orders trial
September 14, 2009
[JURIST] A judge in the US District Court for the Southern District of New York [official website] on Monday rejected [order, PDF] a $33 million settlement agreement [press release] between the Securities and Exchange Commission (SEC) [official website] and Bank of America (BOA) [corporate website]........ [more]
SEC inspector general report details Madoff investigation errors
September 3, 2009
[JURIST] The US Securities and Exchange Commission (SEC) [official website] made a number of missteps that could have uncovered the fraud committed by Bernard Madoff [JURIST news archive] at an earlier date, according to an inspector general's report [text, PDF] released Wednesday. The report indica....... [more]
Federal judge rejects Bank of America settlement agreement with SEC
August 7, 2009
[JURIST] A federal judge on Wednesday refused to accept [order, PDF] a $33 million settlement agreement [press release] reached this week between the Securities and Exchange Commission (SEC) [official website] and Bank of America [corporate website]. The SEC charged BOA on Monday with misleading inv....... [more]
Former AIG executives settle SEC financial fraud case
August 6, 2009
[JURIST] Former American International Group (AIG) [corporate website] executives on Thursday agreed to settle [press release] a suit [complaint, PDF] brought by the US Securities and Exchange Commission (SEC) [official website] alleging their involvement in inflating the company's reported financia....... [more]
SEC charges GE with fraud, reaching $50 million settlement
August 5, 2009
[JURIST] The US Securities and Exchange Commission (SEC) [official website] filed fraud charges [complaint, PDF] Tuesday against General Electric Co. (GE) [corporate website], resulting in GE agreeing to pay a $50 million settlement [press release]. The SEC accused GE of misleading investors in 2003....... [more]
SEC charges Bank of America with misleading investors
August 3, 2009
[JURIST] The US Securities and Exchange Commission (SEC) [official website] on Monday charged Bank of America [corporate website] with misleading investors [complaint, PDF] regarding billions of dollars paid to Merrill Lynch [corporate website] executives during the acquisition of the firm. The comp....... [more]
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