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., Jan. 30, 2018 — The Securities and Exchange Commission today announced that Michael F. Maloney, Chief Accountant of the SEC’s Division of Enforcement, is planning to leave the agency next month. Since February 2014, Mr. Maloney has led the Division’s Office of Chief Accountant, providing advice, consultation, and support on all of the […]
SEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations
The Securities and Exchange Commission today announced that James Reese has been named the Chief Risk and Strategy Officer of the agency’s Office of Compliance Inspections and Examinations (OCIE). Mr. Reese has served as Acting Chief since February 2017. The Chief Risk and Strategy Officer leads the Office of Risk and Strategy (ORS), which […]
Citigroup and Affiliate Ordered to Pay More Than $12 Million in Disgorgement and Penalties Washington D.C., Sept. 14, 2018 — The Securities and Exchange Commission today entered an order finding that Citigroup Global Markets Inc. misled users of a dark pool operated by one of its affiliates. The SEC’s order found that Citigroup misled users […]