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SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency
January 18, 2017The Securities and Exchange Commission today announced that Nathaniel Stankard, deputy chief of staff for policy, will be leaving the[...]
Read ArticleGeneral Motors Charged With Accounting Control Failures
January 18, 2017The Securities and Exchange Commission today announced that General Motors has agreed to pay a $1 million penalty to settle[...]
Read ArticleMedical Device Company Charged With Accounting Failures and FCPA Violations
January 18, 2017The Securities and Exchange Commission today announced that Texas-based medical device company Orthofix International has agreed to admit wrongdoing and[...]
Read ArticleSEC Charges Businessman With Misusing EB-5 Investments
January 17, 2017The Securities and Exchange Commission today announced fraud charges against an Oakland, Calif.-based businessman accused of misusing money he raised[...]
Read ArticleAllergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks
January 17, 2017The Securities and Exchange Commission today announced that Allergan Inc. has agreed to admit securities law violations and pay a[...]
Read Article10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions
January 17, 2017The Securities and Exchange Commission today announced that 10 investment advisory firms have agreed to pay penalties ranging from $35,000[...]
Read ArticleChemical 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 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 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 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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