Well known hedge fund manager Philip Falcone is at the center of a series of cases filed by the SEC.
The Commission brought a series of high profile cases this week.
Dark pools have been a subject of concern to Congress, the SEC and the public for years.
Insider trading is a key focus of SEC enforcement.
There is little new about another investment fund fraud or Ponzi scheme case except of course the victims.
As the summer draws to a close and fall approaches the SEC announced it would not appeal the recent ruling striking down its proxy access rule.
The SEC resolved two Galleon related insider trading cases.
The SEC filed an action against a biotech company, three shareholder companies, and four senior executives of the company for making false statements regarding the FDA status of its sole product.
Armor Holdings, Inc. (“Armor”), the maker of military trucks, has agreed to pay $16 million to resolve claims that it bribed a United Nations official to win contracts connected to peacekeeping missions.
Armor Holdings, Inc. resolved FCPA charges with the Department of Justice and the SEC.