Even as the Securities and Exchange Commission has stepped up its investigations of Wall Street, the agency has repeatedly allowed the biggest firms to avoid punishments.

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S.E.C. Is Avoiding Tough Sanctions for Large Banks

The Securities and Exchange Commission said it would appeal a federal judge’s decision to reject a settlement with Citigroup over securities fraud charges related to the financial crisis.

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S.E.C to Appeal Rejection of Citigroup Settlement

The main self-policing organization for brokers and stock markets misled the government by altering documents sought by federal regulators, the Securities and Exchange Commission charged Thursday. FINRA, a private organization responsible for overseeing much of the U.S. financial industry, altered minutes of staff meetings before turning them over to SEC inspectors in 2008, the agency alleged. Read full article > >

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FINRA brokerage oversight group misled regulators, SEC charges

Federal regulators charged a Citigroup unit with negligence Wednesday, saying it misled investors about an investment product it used to bet against them as the housing market deteriorated. Citigroup agreed to pay a settlement of $285 million, which will be distributed to investors, the Securities and Exchange Commission said. Read full article > >

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Citigroup agrees to pay $285M to investors for negligence, SEC says

A lawyer at the Securities and Exchange Commission said that thousands of documents involving inquiries into Bernard L. Madoff and other matters were destroyed.

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S.E.C. Files Were Illegally Destroyed, Lawyer Says

Even after receiving budget increases, the Securities and Exchange Commission and the Commodity Futures Trading Commission are struggling.

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DealBook: Patrolling Wall Street on the Cheap

The personal assets of Monroe L. Beachy, a 77-year-old Amish man, included a horse, buggy and harness. According to the Securities and Exchange Commission, his skills included financial fraud.

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In an Amish village, the SEC alleges a Madoff-like fraud

Some Wall Street lawyers have been lobbying Congress to get more money for the Securities and Exchange Commission, which faces a budget freeze.

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DealBook: Wall St. Joins S.E.C. in Plea for Bigger Budget

The Securities & Exchange Commission is investigating Mark Hurd’s departure from Hewlett-Packard following claims that he shared inside information about a future deal. Sources say the SEC is looking into whether Hurd passed on information about…

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SEC Probing Hurd’s H-P Exit

Wall Street financier Steve Rattner is close to making a deal with the Securities and Exchange Commission over his role in a “pay to play” investigation related to New York’s state pension fund. Rattner, a big Democratic donor who handled the…

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Rattner Close to Settling with SEC