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The lawsuit was filed on Wednesday in Chicago, where the U.S.

The husband of former CEO of Playboy Enterprises' Christie Hefner is being accused of insider trading by a U.S. regulator for buying and selling company shares based on the information he learned from his wife, according to the Ch

The OCC stated that enforcement action is part of a global resolution with the U.S.

JP Morgan (NYSE:JPM) was ordered to pay $35M to settle allegations in a big-rigging case.The Office of the Comptroller of the Currency said employees participated in a bid-rigging scheme from 1999 through 2005, presenting counterf

Lawmakers have criticized the ratings agencies in the past, describing them as "enablers," and helping to fuel the $1 trillion bubble in mortgage-securities that led to the financial meltdown.

The ratings firms have thus far been able to avoid the regulatory crackdown, and have fended o

The Securities and Exchange Commission has expanded its long running probe into mortgage-bond related deals to include major credit-rating companies, such as Standard & Poor's, a division of The McGraw-Hill Companies (NYSE:MHP

Corey Ribotsky, who runs NIR Capital management, is the collateral manager in question.

Bank of America's (NYSE:BAC) Merrill Lynch and the collateral manager involved in the deal are under investigation by the Securities and Exchange Commission for the sale of a complex mortgage-related security they created for an I

The investigation concerned the bank's "research huddles." Massachusetts alleged that certain clients got special access to the firm's stock analysis and got information and short-term tips that other clients didn't get.

The probe began two years ago. The Securities and Exchange Commission and the Financial Industry Regulatory Authority are investigating the company for similar activities.

Goldman Sachs (NYSE:GS) has agreed to pay $10 million to settle an investigation by Massachusetts' securities regulator concerning communications among its analysts, traders, and select clients.

Whistleblowers will now be entitled to receive 10% - 30% of the money they help the SEC collect through enforcement actions.

Businesses have criticized the rewards system, as whistleblowers are not required to report their allegations to the company they accuse of wrongdoing.

There is however, a financial incentive to report alleged wrongdoing to their own company

The Securities and Exchange Commission approved new rewards for whistleblowers today, acting at the behest of Congress and President Obama who mandated the rewards last year as part of the Dodd-Frank Wall Street Reform Act.

It will also register shares of EPAY issuable pursuant to a warrant issued by EPAY in connection with a prior acquisition, as required by a registration rights agreement between EPAY and the warrant holder.

Bottomline Technologies (EPAY) says it intends to file a universal shelf registration statement with the Securities and Exchange Commission to register the offer and sale of a range of securities, including common stock and variou

The company agreed to settle with the SEC, without admitting or denying the findings of the SEC, by consenting to the entry of an administrative order that requires GSI Group to cease and desist from committing or causing any viol

GSI Group (NASDAQ:GSIG) announced the resolution of the previously disclosed investigation by the SEC into the historical accounting practices of the company's Semiconductor Systems segment.