U.S. Securities And Exchange Commission
State Government: Agencies/Departments/Divisions | State Boards & Commissions
Recent News About U.S. Securities And Exchange Commission
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Insurance agents' supervisor: 'Friedman owed me money' but kept quiet about it
LOS ANGELES — The plaintiff's lawyers spent days working to show how Tony Russon, the head of a MetLife subsidiary, stood by while the owner of an investment fund offering premium financing for insurance customers sold himself as a wealthy individual with a solid business. -
San Rafael attorney disbarred for unauthorized practice in up to 400 cases
SAN RAFAEL -- A California attorney has been disbarred, because he actively represented 300 to 400 trademark cases before the U.S. Patent and Trademark Office (USPTO) despite not being able to practice in this area of law. -
MetLife compliance officer testifies in investment fraud case
LOS ANGELES — Attorneys in the lawsuit against MetLife and its subsidiary grilled a vice president in the insurance giant’s compliance department about policies governing its employees’ activities. -
Company employees testify in MetLife trial
LOS ANGELES – In the first week of testimony, attorneys representing Christine Ramirez in the lawsuit against MetLife and its subsidiary have pointed to years of contracts, emails and scheduled seminars, trying to convince jurors that the insurance giant failed to properly train and supervise its representatives who allegedly promoted a fraudulent investment fund, making it responsible for investors’ losses. -
Former Polycom CEO settles with SEC for alleged failure disclose corporate perks
SAN FRANCISCO – The federal government is cracking down on companies - and their executives - who fail to disclose corporate perks. -
Bankruptcy judge decides bitcoin is more like property than currency
SAN FRANCISCO – The elusive definition of the bitcoin – an Internet payment system that operates in a decentralized way and aims for low transaction fees – has come into somewhat better focus as a bankruptcy case in Northern California moves toward trial. -
Identiv shareholder files suit against employees for alleged breach of fiduciary duty
SAN FRANCISCO — A shareholder of Identiv, Inc. is suing seven individuals serving as employees within the company for allegedly failing to disclose compensation information required by the U.S. Securities and Exchange Commission.