Schemes lure investors to create unwarranted demand for shares of small, thinly traded companies
Regulator says firms did not have supervisory systems in place to properly monitor sales
Payment to settle charges with SEC, FINRA of failing to supervise equity analysts
SEC issues investor bulletin to help educate investors about municipal bonds
The US$68 million in fines is still well below 2005’s record US$184 million
U.S. securities regulators have issued an investor alert encouraging investors to scrutinize their account statements and trade confirmations.
Fraudsters gain access to an investor’s email account and then email instructions to their brokerage firm to transfer money
FINRA sanctions firm for failing to make conflict of interest disclosures
A U.S. government report says regulators could improve their oversight of analyst conflicts of interest
The agreement is intended to bolster market oversight by helping the regulators share information
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