The SEC enforces the securities laws to protect the more than 65 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial goals.
Washington D.C., Feb. 12, 2018 — The Securities and Exchange Commission today instituted an enforcement action against Deutsche Bank Securities Inc., which has agreed to repay more than $3.7 million to customers, which includes $1.48 million that was ordered as disgorgement. The SEC’s investigation found that traders and salespeople made false and misleading statements while […]
SEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience
Washington D.C., Aug. 22, 2018 — Securities and Exchange Commission Chairman Jay Clayton announced today that an additional investor roundtable to discuss the Commission’s recently proposed rules regarding the obligations of financial professionals to investors will be held in Baltimore on the evening of Sept. 20, 2018. Commissioners Kara Stein and Robert Jackson are expected […]
Washington D.C., Feb. 15, 2018 — The Securities and Exchange Commission today announced that Kyle Moffatt has been named Chief Accountant in the Division of Corporation Finance. Mr. Moffatt has served as Acting Chief Accountant in the Division since January 2018. In that role, Mr. Moffatt has overseen the Division’s work to assist companies with […]