U.S. Securities and Exchange Commission

Recent News About U.S. Securities and Exchange Commission View More

Court rules Securities and Exchange Commission failed to show entitlement to disgorgement from Berkeley Healthcare Dynamics

By Charmaine Little | Jan 18, 2019

SAN FRANCISCO – The U.S. District Court for the Northern District of California partially granted the Securities Exchange Commission’s motion for summary judgment in its case against companies it alleged violated federal securities laws.

Federal judge orders SEC-alleged Ponzi fraudster to pay off purchase agreement with California firm

By Karen Kidd | Jan 8, 2019

A New York man charged by the U.S. Securities and Exchange Commission with bilking millions from investors has been ordered by a federal judge to pay off a defaulted purchase agreement with a California wealth management company.

Court orders for final distribution plan in case between SEC, Felix Investments

By Gabriel Neves | Dec 28, 2018

SAN FRANCISCO – A plan crafted both by the U.S. Securities Exchange Commission and an investment company has received an order for a final agreement.

The Record Network