The U.S. Supreme Court has agreed to review the insider trading conviction of an Illinois man who received confidential information from the brother of a former investment banker.
A civil suit by the U.S. Securities and Exchange Commission alleges a partner at Nelson Mullins Riley & Scarborough served as a conduit in a pay-to-play scheme by State Street…
One of Wall Street’s best-known financial institutions has agreed to pay more than $5 billion to settle claims that it sold toxic bonds based on residential mortgages between 2005 and…
A federal judge has tossed aside an effort to force the Securities and Exchange Commission to adopt a rule requiring publicly traded companies to disclose their political contributions.
A partner in the New York office of a major law firm was arrested Thursday, accused in a federal indictment of conspiring with a well-known entrepreneur and former hedge fund…
Expanding charges in a case against two Israeli men and a U.S. citizen, a federal prosecutor on Tuesday unsealed a superseding indictment (PDF) and accused them of playing a…
The nation’s largest publicly traded coal company, Peabody Energy Corp., has agreed to change its shareholder disclosures to reflect the business risks associated with climate change and the regulatory response.
A Manhattan securities lawyer is among three people arrested on Wednesday in an expanding probe of a $300 million scheme to manipulate the prices of penny stocks.
Implementing a 2012 law that allows companies to seek crowdfunding from individuals via the Internet, the U.S. Securities and Exchange Commission on Friday voted 3-1 to adopt new rules.
A former hedge fund manager, while defending himself against 22 felony charges in a federal case related to multiple fraud schemes, hid a tablet computer in the ceiling of his…
The way the U.S. Securities and Exchange Commission counts enforcement actions and penalties for annual statistics is flawed and masks problems and trends, according to a study slated to be…
A 43-year-old lawyer for a New York state economic development agency who formerly worked for the governor and Jones Day has died from a gunshot wound to the head.