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  • Bolan, because it ends the SEC case against him while permitting him to go back to work immediately, "he said. The settlement was reached on the eve of a trial before an SEC administrative law judge over charges the SEC first leveled against Bolan and Ruggieri in September. The SEC had alleged that Ruggieri, who worked at Wells Fargo in New York, in 2010 and 2011 traded...

  • May 28- Alpha Natural Resources Inc must pay for the legal defense of Donald Blankenship, who is facing a criminal trial over a coal mining disaster in 2010, when he headed Alpha's Massey Energy Co business, a Delaware judge ruled on Thursday. The indictment also said that after the explosion, he misled the U.S. Securities and Exchange Commission about Massey's...

  • WASHINGTON, May 28- Andrew J. "Buddy" Donohue has agreed to return to the U.S. Securities and Exchange Commission to serve as the chief of staff for SEC Chair Mary Jo White, the agency said on Thursday. Donohue, currently a managing director at Goldman Sachs Group Inc, is a very familiar face both within the SEC and in the investment management industry.

  • May 26- A Connecticut venture capital executive accused of insider trading and of cheating his clients out of tens of millions of dollars has fled the country, the U.S. Securities and Exchange Commission said. Iftikar Ahmed, a former general partner at Oak Investment Partners, left the United States some time before May 18 in violation of a judge's order in the...

  • NEW YORK, May 22- Citigroup said on Friday it is selling its margin foreign exchange business, including the CitiFX Pro and TradeStream platforms to U.S.-based FXCM and Danish investment bank SAXO Bank. FXCM filed an 8 K form with the U.S. Securities and Exchange Commission that the company would "assume the vast majority of margin forex accounts of CitiFX Pro...

  • Her statement comes just one day after the SEC gave JP Morgan Chase& Co, Citigroup Inc, UBS AG, Barclays Plc and the Royal Bank of Scotland Group Plc a series of waivers to let them continue their usual securities business. But all the banks won SEC waivers to let them continue being "well-known seasoned issuers" or WKSIs- a status that lets them raise capital quickly...

  • An SEC statement said Gray Financial Group steered public pension fund clients into an investment fund that did not comply with state law and collected more than $1.7 million as a result. The SEC said the investments violated Georgia law because they did not have at least four other investors and did not have a minimum of $100 million in assets.

  • Atlanta firm charged by SEC over public pension funds Thursday, 21 May 2015 | 11:35 AM ET

    WASHINGTON, May 21- The U.S. Securities and Exchange Commission on Thursday announced fraud charges against an Atlanta- based investment advisory firm and two of its executives for their handling of the city's pension funds for police, firefighters, transit workers and other employees.

  • NEW YORK— BHP Billiton has agreed to pay $25 million to settle Securities and Exchange Commission charges that it violated anti-bribery laws by failing to have a proper system in place to prevent the risk of bribery when it paid for trips of 60 government officials to the 2008 Beijing Olympic Games. The SEC said the mining company brought 60 government...

  • According to the SEC, BHP ultimately paid for 60 guests and some spouses and guests to attend, mainly from Africa and Asia. "BHP Billiton recognized that inviting government officials to the Olympics created a heightened risk of violating anti-corruption laws, yet the company failed to implement sufficient internal controls to address that heightened risk,"...

  • May 20- BHP Billiton has agreed to pay $25 million to settle U.S. regulatory charges that it improperly sponsored the attendance of foreign government officials at the 2008 Summer Olympics in Beijing. The U.S. Securities and Exchange Commission accused BHP of violating the Foreign Corrupt Practices Act, a U.S. anti-bribery law, by enabling foreign government...

  • Chaired by Treasury Secretary Jack Lew, its membership is comprised of the top U.S. regulators including Federal Reserve Chair Janet Yellen and Securities and Exchange Commission Chair Mary Jo White. The FSOC's report comes just one day before the SEC is slated to propose rules that would require mutual funds and other asset managers to report more details...

  • NEW YORK, May 15- Hedge fund Paulson& Co kept its stakes unchanged in most of its gold investments in the first quarter, when the precious metal's price pared its gains, a filing with the U.S. Securities and Exchange Commission showed on Friday. The New York- based fund, led by longtime gold bull John Paulson, kept his shares in SPDR Gold Trust, the world's largest...

  • Fake Avon filing puts spotlight on SEC Friday, 15 May 2015 | 5:53 PM ET
    SEC Securities and Exchange Commission

    Former SEC Inspector General David Kotz sthinks the SEC should do something to protect against future Avon-like hoaxes.

  • NEW YORK, May 15- Hedge fund Paulson& Co kept its stake unchanged in the gold-backed exchange-traded fund SPDR Gold Trust for a sixth consecutive quarter in the first quarter of 2015, a filing with the U.S. Securities and Exchange Commission showed on Friday.

  • NEW YORK, May 15- Soros Fund Management LLC kept its stake unchanged in Market Vectors Gold Miners exchange-traded fund in the first quarter of 2015, compared with the fourth quarter of 2014, a filing with the U.S. Securities and Exchange Commission showed on Friday.

  • Easy access to Edgar database? Uh-oh   Friday, 15 May 2015 | 4:00 PM ET
    Easy access to Edgar database? Uh-oh

    A look into the fake bid for Avon, with CNBC's Eamon Javers and David Kotz, former SEC Inspector General.

  • Red flags at Vipshop?   Friday, 15 May 2015 | 12:32 PM ET
    Red flags at Vipshop?

    Vipshop released a statement saying the company has and will always endeavor to be in compliance with applicable U.S. and PRC laws and regulations. Ron Geffner, Sadis & Goldberg Partner and former SEC Enforcement attorney, provides perspective.

  • SEC examines phony Avon bid   Friday, 15 May 2015 | 10:14 AM ET
    SEC examines phony Avon bid

    Inside the process of how a fake bid for Avon Products could have been filed, with CNBC's Eamon Javers.

  • Avon shares soar after fake bid   Friday, 15 May 2015 | 7:00 AM ET
    Avon shares soar after fake bid

    An apparently fake bid for Avon is reportedly being reviewed by the SEC.