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Lumber Liquidators ’s stock plunge, fueled by allegations of excessive formaldehyde in its flooring, can be traced back to a blog post from an obscure 25-year-old short seller.
American Realty Capital Properties Inc. filed restated results showing the company understated losses for 2013 and the first quarter of 2014.
Morgan Stanley said the N.Y. Attorney General's office indicated it would file a lawsuit accusing it of misrepresenting or omitting material information in about 30 subprime securitizations.
A venture capital fund manager who promised the public pre-IPO shares in taxi company Uber Technologies and Twitter instead took retail investors for a ride in a Ponzi scheme, the SEC said.
There’s competition to be the first Academy Award winner to play Bernie Madoff, mastermind of the world’s biggest Ponzi scheme.
The SEC enforcement unit overseeing financial advisors will be focusing on conflict of interests this year, its head said Thursday.
The national debate fanned by President Obama over new fiduciary standards for financial advisors shows that the country is veering too much toward punishment, says expert Donald Trone.
Few states are as strict about residency rules as New York, which means that if New Yorkers want to leave—and take state tax revenue along with them—they must prove they really are gone.
A “disturbingly large” number of U.S. securities brokerages are not filing mandatory reports with regulators about customer transactions that could signal money laundering, according to the SEC.
The SEC is not using computers as robocops to finger financial advisors, says the director of the agency's Division of Economic and Risk Analysis.
A person who believes a huge financial gamble is about to pay off experiences the same brain activity as in one about to get a hit of cocaine, and the thought of a financial windfall is even more powerful than the sight of a naked body, he writes.
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