Topic: SEC

The Securities and Exchange Commission's filing in a California federal court seeks to compel the bank  to hand over documents. The SEC said it has issued several subpoenas since September 2011.

More than a decade after U.S. regulators moved to clean up the stock research industry at investment banks, analysts across the globe are as hesitant as ever to issue negative research on companies they believe are destined to struggle.

Peer-to-peer lending is gaining in popularity. Find out how to protect yourself against scams like the one  a former mortgage broker in Hawaii pulled on his victims.

A federal appeals court said Thursday that a judge likely overstepped his authority when he blocked a $285 million settlement over toxic mortgage securities after concluding that it was bad policy for a regulatory agency to accept a deal that does not include an admission of liability.

U.S. securities regulators took enforcement action against an online trading platform and two private funds offering Facebook shares on Wednesday, the first action in a year-long probe into the lightly regulated world of private company-share trading.

Goldman Sachs and another futures clearing company have been sued by the U.S. Commodity Futures Trading Commission for allegedly failing to properly segregate customer funds.

Tuesday's conviction of Texas financier Allen Stanford on 13 out of 14 counts provides a small measure of vindication for investors in the $7 billion Ponzi scheme.

Allen Stanford has been found guilty of 13 out of 14 counts in one of the biggest financial frauds in US history.

A U.S. Food and Drug Administration chemist on Monday was sentenced to five years in federal prison after pleading guilty to insider trading by using confidential information about drug approvals.

The jury in the Allen Stanford fraud trial said Monday it is deadlocked, but the judge told the jury to continue deliberating.

From media campaigns to technological advancements, the Federal Bureau of Investigation is changing the way it combats insider trading.

In a letter to the U.S. Securities and Exchange Commission, the largest U.S. money fund sponsor said proposed money market rules would "ultimately destroy" the $2.7 trillion industry.

Allen Stanford perpetrated one of the biggest thefts in history, a U.S. prosecutor said on Wednesday as the former financier's trial neared its end.

The defense has rested its case in the fraud trial of Texas financier Allen Stanford without calling him to testify in his own defense. That means the case in what prosecutors call one of the biggest financial frauds in U.S. history could go to the jury by Wednesday afternoon.

The Securities and Exchange Commission has begun a broad examination of the private equity industry, seeking information about the business practices of some of the country’s most powerful financial firms, the New York Times reports.