U.S. Securities and Exchange Commission
@SECGov
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The SEC protects investors, maintains fair, orderly, and efficient markets, and facilitates capital formation. Disclaimer:
Washington, DC
Joined December 2008
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We got some big things done in 2021, and we're rockin and rollin into 2022 with a lot more to do!
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We announced charges against Wells Fargo Advisors for failing to file at least 34 Suspicious Activity Reports in a timely manner between April '17 & Oct '21. Wells Fargo Advisors, the St. Louis-based broker-dealer, agreed to pay $7M to settle the charges.
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This week we announced charges against Allianz Global Investors US for fraud. Not only are those responsible being held accountable, but importantly, the victims in this case have been, or soon will be, made whole. - Gurbir S. Grewal, Director of the Division of Enforcement.
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U.S. Securities and Exchange Commission Retweeted
As we continue to navigate geopolitical challenges, we must always think about ways to enhance the efficiency, resiliency, transparency of our markets.
My full remarks from the House Appropriations Committee Hearing
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We have an Open Commission Meeting coming up on Wednesday, May 25th at 1pm ET.
Details:
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The Division of Examinations seeks to fill a Senior Officer - Chief Risk and Strategy Officer (Attorney) (CRSO) position in Washington, DC.
Apply here:
#SECGovJobs
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The Division of Examinations seeks to fill a Chief Risk and Strategy Officer (CRSO) position in Washington, DC.
Apply here:
#SECGovJobs
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Tune in to the livestream in 10 minutes 👇
Press conference today at 11:30am to announce the indictment of Gregoire Tournant, the former chief investment officer for a series of funds at Allianz Global Investors US LLC (“AGI US”), for conspiracy, securities fraud, investment advisor fraud, and obstruction of justice
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Allianz Global Investors has agreed to pay billions of dollars as part of an integrated, global resolution, including more than $1 billion to settle SEC charges & together w/ its parent, Allianz SE, over $5 billion in restitution to victims. (2/2)
More:
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Today we charged Allianz Global Investors U.S. LLC, and former portfolio managers Gregoire Tournant, Trevor Taylor, and Stephen Bond-Nelson with a fraudulent scheme that led pension funds for teachers, clergy, engineers, and other Americans to lose billions of dollars. (1/2)
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We obtained emergency relief to halt a stock fraud scheme that involved StraightPath Venture Partners LLC & other defendants, including persons barred from the brokerage industry, allegedly selling pre-IPO shares they didn’t own and pocketing more than $75 million.
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Interested in an internship opportunity at the SEC?
The last day to apply is today!
These internships are intended for students who will be attending college during the fall 2022 semester.
Interested applicants, apply here:
#SECGovJobs
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If you haven't already, check out our internship opportunities.
These internships are intended for students who will be attending college during the fall 2022 semester.
Interested applicants, apply here:
#SECGovJobs
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Want to comment on these proposals and others?
🎥 Watch now to learn more:
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