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BNY 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[...]
Read ArticleSEC Awards $5.5 Million to Whistleblower
January 06, 2017The Securities and Exchange Commission today announced an award of more than $5.5 million to a whistleblower who provided critical[...]
Read ArticleWire and Cable Manufacturer Settles FCPA and Accounting Charges
December 29, 2016The Securities and Exchange Commission today announced that Kentucky-based General Cable Corporation agreed to pay more than $75 million to[...]
Read ArticleBusinessman Settles Charges of Fraudulent EB-5 Offering
December 28, 2016The Securities and Exchange Commission today announced that a Florida-based businessman has agreed to settle charges that he misused investor[...]
Read ArticleSEC Charges Lawyer With Stealing Investor Money in EB-5 Offerings
December 27, 2016The Securities and Exchange Commission today charged a California-based attorney with defrauding investors seeking to participate in the EB-5 immigrant[...]
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