The SEC filed a settled civil injunctive action yesterday against financial giant UBS. The SEC action alleges violations of Section 15(a) of the Exchange Act and Section 203(a) of the Investment Advisers Act for respectively, acting as an unregistered broker-dealer …

UBS Settles With DOJ And SEC, Ending Its Cross Border Tax Driven Business Read More »

An action brought on Tuesday by the SEC should remind investors — and perhaps regulators — of the fundamental lesson of the Madoff scandal: if it’s too good to be true, it probably is. SEC v. Stanford International Bank, Case …

Another Lesson In The Hallmarks Of Fraud Read More »