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Chemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases
January 13, 2017The Securities and Exchange Commission today announced that Chilean-based chemical and mining company Sociedad Quimica y Minera de Chile S.A.[...]
Read ArticleMorgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule
January 13, 2017The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay a $13 million penalty[...]
Read ArticleCitadel Securities Paying $22 Million for Misleading Clients About Pricing Trades
January 13, 2017The Securities and Exchange Commission today announced that Citadel Securities LLC has agreed to pay $22.6 million to settle charges[...]
Read ArticleMichael J. Osnato Jr., Chief of Enforcement Division’s Complex Financial Instruments Unit, to Leave SEC
January 12, 2017The Securities and Exchange Commission today announced that Michael J. Osnato Jr., Chief of the Enforcement Division’s Complex Financial Instruments[...]
Read ArticleBNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures
January 12, 2017The Securities and Exchange Commission today announced that BNY Mellon has agreed to pay a $6.6 million penalty to settle[...]
Read ArticleBiomet Charged With Repeating FCPA Violations
January 12, 2017The Securities and Exchange Commission today announced that a Warsaw, Ind.-based medical device manufacturer has agreed to pay more than[...]
Read ArticleSEC Announces 2017 Examination Priorities
January 12, 2017The Securities and Exchange Commission today announced its Office of Compliance Inspections and Examinations’ (OCIE) 2017 priorities. Areas of[...]
Read ArticleITG Paying $24 Million for Improper Handling of ADRs
January 12, 2017The Securities and Exchange Commission today announced that broker ITG agreed to pay more than $24.4 million to settle charges[...]
Read ArticleSEC Charges Government Contractor With Inadequate Controls and Books and Records Violations
January 11, 2017The Securities and Exchange Commission today announced that L3 Technologies Inc. (formerly known as L-3 Communications Holdings Inc.), a contractor[...]
Read ArticleSEC: Port Authority Omitted Risks to Investors in Roadway Projects
January 10, 2017The Securities and Exchange Commission today announced that the Port Authority of New York and New Jersey has agreed to[...]
Read ArticleInvestment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme
January 09, 2017The Securities and Exchange Commission today announced that a Connecticut-based investment adviser has agreed to admit wrongdoing and pay more[...]
Read ArticleSEC Charges Two Brokers With Defrauding Customers
January 09, 2017The Securities and Exchange Commission today charged two New York-based brokers with fraudulently using an in-and-out trading strategy that was[...]
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