SEC Rule 10b
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SEC charges Richmond Federal Reserve supervisor with insider trading
The SEC said Thompson used material nonpublic information to trade in stock and options of at least two publicly-traded banks within his supervisory portfolio.
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Agencies bring civil, criminal charges for firm’s massive carbon credit frauds
By manipulating data, QCQ Impact Investors was able to accumulate millions more in carbon credits than otherwise allowed.
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SEC charges ex-finance director at CIRCOR International with accounting fraud
Company settled SEC charges for related accounting controls violations, avoiding penalties because of its self-reporting, cooperation and remediation efforts.
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Famous short seller Andrew Left charged with stock manipulation scheme
The DOJ and SEC claim Left defrauded his followers by publishing false and misleading statements about his stock trading recommendations.