U.S. Securities and Exchange Commission News

Trial lawyers find unusual allies in fight against arbitration: Conservative state treasurers

By Daniel Fisher | Dec 11, 2018

WASHINGTON (Legal Newsline) - Class action lawyers who see arbitration as a mortal threat to their business have found unlikely allies among some of the nation’s most conservative state officials.

SEC files suit against Wayne man over investment advisory fraud allegations

By Louie Torres | Dec 18, 2017

PHILADELPHIA – A federal agency alleges a Wayne resident engaged in fraudulent securities offering and investment advisory fraud.

SEC announces Pa. 'pay-to-play' settlement

By Shanice Harris | Feb 8, 2017

WASHINGTON – The United States Securities and Exchange Commission has announced nine settled enforcement actions involving private equity, venture capital and hedge fund sponsors accused of violating the pay-to-play rule - one of which donated to a Pennsylvania candidate

SEC settles action with investment firm for $300,000

By Deana Carpenter | Aug 4, 2016

PHILADELPHIA — The Securities Exchange Commission (SEC) on July 14 settled an action against RiverFront Investment Group of Richmond, Va.

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