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.
The Securities and Exchange Commission today announced a whistleblower award of more than $1.7 million to a company insider who provided the agency with critical information to help stop a fraud that would have otherwise been difficult to detect. Millions of dollars were returned to harmed investors as a result of the SEC’s ensuing investigation […]
Washington D.C., Sept. 28, 2017— The Securities and Exchange Commission today charged three New York-based brokers with making unsuitable recommendations that resulted in substantial losses to customers and hefty commissions for the brokers. One of the brokers agreed to pay more than $400,000 to settle the charges. Brokers must make recommendations that are compatible with […]
The Securities and Exchange Commission today announced that Jane Jarcho, Deputy Director of the Office of Compliance Inspections and Examinations (OCIE), will retire from the SEC at the end of August. Ms. Jarcho has served as OCIE’s Deputy Director since 2016, with responsibility for overseeing OCIE’s program areas, including Investment Adviser/Investment Company (IA/IC), Broker-Dealer and […]