Isobel Markham

August 15, 2014 | The American Lawyer

Rosengren says in a speech that the move would help prevent funding shortfalls during times of market stress.

By Isobel Markham

2 minute read

August 14, 2014 | The American Lawyer

Citigroup has told the SEC that making trading on stock exchanges more affordable would help drive trades from dark pools back to the exchanges.

By Isobel Markham

3 minute read

August 14, 2014 | The American Lawyer

Chief executive Mark Casady calls the current regulatory environment "the toughest I've seen in 30 years in the industry."

By Isobel Markham

2 minute read

August 14, 2014 | The American Lawyer

The pair were accused of making false and misleading statements to boost sales of unregistered investment notes.

By Isobel Markham

2 minute read

August 13, 2014 | The American Lawyer

The agency claims that Edwin Vasquez and his company, Vasquez Global Investments, provided false statements to investors to cover up trading losses and misappropriation of funds.

By Isobel Markham

2 minute read

August 13, 2014 | The American Lawyer

The SEC had charged the state with failing to tell investors about an unfunded liability in its pension system.

By Isobel Markham

3 minute read

August 12, 2014 | The American Lawyer

Consumers should be aware of unclear costs, volatile exchange rates and the threat of hacking and scams, says the Consumer Financial Protection Bureau, which is soliciting consumer complaints.

By Isobel Markham

2 minute read

August 11, 2014 | The American Lawyer

Claiming it had developed a cancer cure, the company raised $6.5 million from more than 300 investors.

By Isobel Markham

2 minute read

August 09, 2014 | The American Lawyer

The regulator says the hedge fund's system for verifying orders failed to prevent inaccurate customer orders from being sent to stock exchanges.

By Isobel Markham

3 minute read

August 08, 2014 | The American Lawyer

The JOBS Act makes it easier to invest in lightly regulated companies, but risks are higher, too. The SEC names 10 red flags that might indicate a potential investment is actually a scam.

By Isobel Markham

2 minute read