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No, the SEC investigation will not prompt a Facebook IPO
Dan Primack 2011-01-05 06:13Facebook wants to go public... someday. In fact, it's wanted to go public someday for quite a number of days.Now there is speculation that the SEC inv...
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JPMorgan in SEC subprime probe
Colin Barr 2010-11-05 01:48ProPublica says it may. The investigative journalism outfit reports JPMorgan (JPM) has come under regulatory scrutiny over its handling of conflicts o...
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美国男子设假投资移民项目揽财遭起诉 中国投资者被骗上亿
Peter Elkind 2014-09-02 12:00一个联邦大陪审团上周三下午对安索•塞思提起刑事诉讼。这位30岁芝加哥男子的大胆计划是运用他从中国投资者手中筹集的1.60亿美元资金，建设一个巨型酒店和会议综合大楼，《财富》（Fortune）杂志最近也对他进行了调查。起诉书指控塞思犯有8项通信欺诈罪和2项虚假陈述罪。如果罪名被判成立，他将面临每项欺诈...
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高盛身陷贿赂泥潭
Colin Barr 2011-06-13 11:07我们可能很快就会知道了。美国证券交易委员会(Securities and Exchange Commission)正在调查高盛(Goldman Sachs)和其他大银行在与利比亚主权财富基金交易时是否违反了贿赂法。此案的问题在于高盛起初同意支付的一笔费用（该笔费用一旦支付就会被转交给一个有政治关联的...
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高盛身陷贿赂泥潭
Colin Barr 2011-06-13 11:07我们可能很快就会知道了。美国证券交易委员会(Securities and Exchange Commission)正在调查高盛(Goldman Sachs)和其他大银行在与利比亚主权财富基金交易时是否违反了贿赂法。此案的问题在于高盛起初同意支付的一笔费用（该笔费用一旦支付就会被转交给一个有政治关联的...
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SEC宣布彻查高频交易
Stephen Gandel 2014-06-11 12:00美国证券交易委员会主席玛丽•乔•怀特上周四，在华尔街投资会议上，美国证券交易委员会（SEC）主席玛丽•乔•怀特宣布将展开一系列调查，改变相关潜规则，同时采取监控措施，目的是为了重点打击高频交易（HFT）。这项调查的清单十分冗长。怀特说，SEC将调查高频交易公司是否获得交易所的允许，借助比其他交易商更...
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SEC处以高盛巨额罚款
Colin Barr 2010-07-21 02:44美国证券交易委员会（Securities and Exchange Commission，SEC）日前宣布，高盛公司（Goldman Sachs）将缴纳3亿美元的罚金。另外，由于其在2007年次贷交易中的不当行为，高盛还需向受到影响的投资者赔偿2.5亿美元。SEC表示，这是迄今为止华尔街公司收到的最...
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SEC slaps Goldman with huge fine
Colin Barr 2010-07-21 01:05Goldman (GS) will pay $300 million in fines and $250 million in restitution to investors harmed by its misconduct in the 2007 subprime debt deal, the ...
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SEC hasn't forgotten Citi
Colin Barr 2010-05-12 07:42Goldman (GS), you may have heard, was sued last month by the Securities and Exchange Commission. The SEC, led by Mary Schapiro (right), claims Goldman...
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SEC chief names four targets for scrutiny
财富中文网 2009-06-23 12:49So-called dark pools are among the investing categories that Mary Schapiro plans to look at very carefully.By Alyssa Abkowitz and Scott CendrowskiWher...
