Today, the U.S. Securities and Exchange Commission (“SEC”) charged HSBC’s Swiss-based private banking unit with violating federal securities laws by failing to register with the

On November 24, 2014, Cleveland-based U.S. District Judge Patricia Gaughan, sentenced Anthony Davian, a Copley financial adviser, to 57 months in prison for running scam

“A court owes no deference to the prosecution’s interpretation of a criminal law. Criminal statutes “are for the courts, not for the Government, to construe.”

On November 10, 2014, the U.S. Securities and Exchange Commission (“SEC”) released an administrative cease-and-desist order pursuant to Section 8A of the Securities Act of

A Manhattan federal judge, U.S. District Judge Jed Rakoff, who is a well-known critic of U.S. Securities and Exchange Commission (“SEC”) expressed his outrage on

On November 5, 2014, The U.S. Securities and Exchange Commission (“SEC”) sent a message to all companies that are not current on their disclosure requirements;