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SEC Charges Home Loan Servicing Solutions for Misstatements and Inadequate Internal Controls
October 05, 2015The Securities and Exchange Commission today charged Home Loan Servicing Solutions Ltd. (HLSS) for making material misstatements about its handling[...]
Read ArticleSEC Charges Bristol-Myers Squibb With FCPA Violations
October 05, 2015The Securities and Exchange Commission today announced that New York-based pharmaceutical company Bristol-Myers Squibb has agreed to settle charges that[...]
Read ArticleChyhe Becker Named as Associate Director in the Division of Economic and Risk Analysis
October 02, 2015The Securities and Exchange Commission today announced that Chyhe Becker has been named as an Associate Director in the Division[...]
Read ArticleSEC Halts $32 Million Scheme That Promised Riches From Amber Mining
October 01, 2015The Securities and Exchange Commission today announced it has filed fraud charges and obtained asset freezes against the operator of[...]
Read ArticleSEC Charges New Jersey Fund Manager With Securities Fraud
October 01, 2015The Securities and Exchange Commission today charged a New Jersey fund manager and his firm with defrauding investors by lying[...]
Read ArticleSEC Charges Two Grant Thornton Firms With Violating Auditor Independence Rules
October 01, 2015The Securities and Exchange Commission today charged Grant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited with auditor[...]
Read ArticleSEC Charges Executives for Defrauding Investors in Financial Fraud Scheme
September 30, 2015The Securities and Exchange Commission today charged two former executives of ContinuityX Solutions Inc. with fabricating nearly all of the[...]
Read ArticleFee Rate Advisory #2 for Fiscal Year 2016
September 30, 2015When fiscal year 2016 starts on October 1, 2015, the Securities and Exchange Commission does not expect to have received[...]
Read ArticleLatour Trading Charged With Market Structure Rule Violations
September 30, 2015The Securities and Exchange Commission today charged Latour Trading LLC with violating SEC rules designed to ensure safe and efficient[...]
Read ArticleSEC Sanctions 22 Underwriting Firms for Fraudulent Municipal Bond Offerings
September 30, 2015The Securities and Exchange Commission today announced enforcement actions against 22 municipal underwriting firms for violations in municipal bond offerings. [...]
Read ArticleSEC Names William Royer to Lead Exam Program in Atlanta Office
September 29, 2015The Securities and Exchange Commission today announced that William Royer has been named the new head of the examination program[...]
Read ArticleSEC Charges Investment Adviser With Fraud
September 29, 2015The Securities and Exchange Commission today announced fraud charges against a registered investment adviser and its owner for allegedly engaging[...]
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