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Deloitte Japan Charged With Violating Auditor Independence Rules
February 13, 2019The Securities and Exchange Commission today announced that Deloitte Touche Tohmatsu LLC (Deloitte Japan) will pay $2 million to settle[...]
Read ArticleSEC Charges Founder of Online Gaming Company Defrauding Investors
February 07, 2019The Securities and Exchange Commission today charged Robert Alexander with fraudulently raising approximately $9 million from more than 50 individuals[...]
Read ArticleElizabeth McFadden Named Deputy General Counsel
February 04, 2019The Securities and Exchange Commission today announced that Elizabeth McFadden has been named Deputy General Counsel for General Law and[...]
Read ArticleSEC Charges Four Public Companies With Longstanding ICFR Failures
January 29, 2019The Securities and Exchange Commission today announced settled charges against four public companies for failing to maintain internal control over financial[...]
Read ArticleSEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail
January 29, 2019The Securities and Exchange Commission today announced that Manisha Kimmel will serve as Senior Policy Advisor for Regulatory Reporting to[...]
Read ArticleShamoil T. Shipchandler, Regional Director of the SEC’s Fort Worth Regional Office, Has Left the Agency
January 28, 2019The Securities and Exchange Commission today announced that Shamoil T. Shipchandler, Director of the Fort Worth Regional Office, left the[...]
Read ArticleCourt Orders $1 Billion Judgment Against Operators of Woodbridge Ponzi Scheme Targeting Retail Investors
January 28, 2019The Securities and Exchange Commission today announced that a federal court in Florida ordered Woodbridge Group of Companies LLC and[...]
Read ArticleShamoil T. Shipchandler, Regional Director of the SEC’s Fort Worth Regional Office, Has Left the Agency
January 28, 2019The Securities and Exchange Commission today announced that Shamoil T. Shipchandler, Director of the Fort Worth Regional Office, left the[...]
Read ArticleSEC Emergency Action Charges Texas Real Estate Developer for Multi-Million Dollar Offering Fraud
January 25, 2019The Securities and Exchange Commission announced today that it filed charges against Texas resident and real estate developer Phillip Michael[...]
Read ArticleSEC Brings Charges in Edgar Hacking Case
January 15, 2019The Securities and Exchange Commission today announced charges against nine defendants for participating in a previously disclosed scheme to hack[...]
Read ArticleJPMorgan to Pay More Than $135 Million for Improper Handling of ADRs
December 26, 2018The Securities and Exchange Commission today announced that JPMorgan Chase Bank N.A. will pay more than $135 million to settle charges[...]
Read ArticleAgencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule
December 21, 2018Five federal financial regulatory agencies on Friday invited public comment on a proposal that would exclude certain community banks from[...]
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