November 2013 – Page 2 – SEC ACTIONS

Month: November 2013

CFTC Fines, Temporarily Bans Traders for Attempted Manipulation

Posted on November 25, 2013 by T. Gorman Posted in SECActions

CFTC brings another case charging attempted manipulation of the oil futures markets.

Tagged with: CFTC, manipulation, oil markets, secactions

SEC Enforcement – Ethics and the New Tough Guy Approach

Posted on November 24, 2013 by T. Gorman Posted in SECActions

Remarks by new SEC Commissioner Pinwowar focus on infusing ethics into SEC enforcement.

Tagged with: ethics, SEC enforcement, secactions