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News and Alerts

05/20/2015

SEC Charges BlackRock Advisors With Failing to Disclose Conflict of Interest to Clients and Fund Boards

The Securities and Exchange Commission today charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a conflict of interest created by the outside business activity of a top-performing portfolio manager. Read more

05/20/2015

SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

he Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm.Read more

05/14/2015

SEC Charges Nationwide Life Insurance Company With Pricing Violations

The Securities and Exchange Commission today charged Nationwide Life Insurance Company with routinely violating pricing rules in its daily processing of purchase and redemption orders for variable insurance contracts and underlying mutual funds. Read more

05/14/2015

SEC Charges Father and Son in $1.1 Million Insider Trading Scheme

The Securities and Exchange Commission today charged a father and son in New York with conducting a serial insider trading scheme involving tips of key nonpublic information in coded e-mail messages disguised as discussions about golf. Read more

05/12/2015

SEC Announces Fraud Charges Against ITT Educational Services

The Securities and Exchange Commission today announced fraud charges against ITT Educational Services Inc., its chief executive officer Kevin Modany, and its chief financial officer Daniel Fitzpatrick.Read more