- Tue, 27 Jan 2015 16:34:26 +0000: Oppenheimer hit with $20M in fines - USA TODAY - "SEC Enforcement Division" - Google News
New York PostOppenheimer hit with $20M in fines
... Oppenheimer's customer's stock sales were not exempt from registration, Oppenheimer nonetheless allowed unregistered sales to occur through its account, failing in its gatekeeper role," said Andrew Ceresney, director of the SEC's enforcement division.
SEC: Wall St icon gave Bahamian firm access to US financial system
McClatchy Washington Bureau
Oppenheimer to Pay $20 Million Over Penny-Stock Violations
Bloomberg all 91 news articles »
- Mon, 26 Jan 2015 18:59:32 +0000: First ever SEC ratings agency enforcement hits S&P for over $77mn - The Insurance Insider (subscription) - "SEC Enforcement Division" - Google News
HedgeCo.netFirst ever SEC ratings agency enforcement hits S&P for over $77mn
The Insurance Insider (subscription)
"Investors rely on credit rating agencies like S&P to play it straight when rating complex securities like CMBS," said Andrew Ceresney, director of the SEC enforcement division. "But S&P elevated its own financial interests above investors by loosening ...
Standard & Poor's To Pay $77 Million...
HedgeCo.net all 15 news articles »
- Thu, 22 Jan 2015 22:40:01 +0000: Standard and Poor's enforcement falls short - Yahoo News - "SEC Enforcement Division" - Google News
LivemintStandard and Poor's enforcement falls short
“These enforcement actions, our first-ever against a major ratings firm, reflect our commitment to aggressively policing the integrity and transparency of the credit ratings process,” Andrew J. Ceresney, director of the SEC Enforcement Division said in ...
S&P Ban Leaves Debt Rater Unharmed in Most of Its CMBS Business
S&P Settles SEC Ratings Charges for $77M
Chief Investment Officer
S&P to pay $77 million, faces other civil suits
Omaha World-Herald all 65 news articles »
- Wed, 21 Jan 2015 14:29:36 +0000: SEC announces charges against Standard & Poor's for fraudulent ratings ... - Automated Trader - "SEC Enforcement Division" - Google News
New York TimesSEC announces charges against Standard & Poor's for fraudulent ratings ...
Michael J. Osnato, chief of the SEC Enforcement Division's Complex Financial Instruments Unit. "These CMBS-related enforcement actions against S&P demonstrate that 'race to the bottom' behavior by ratings firms will not be tolerated by the SEC and ...
SEC Announces Charges Against S&P For Fraudulent Ratings Misconduct
Insurance News Net
S&P Settles With SEC, 2 States Over Misconduct Charges
New York Times all 275 news articles »
- Wed, 21 Jan 2015 00:10:31 +0000: SEC Gets Busy With Accounting Investigations - Wall Street Journal - "SEC Enforcement Division" - Google News
Wall Street JournalSEC Gets Busy With Accounting Investigations
Wall Street Journal
Michael Maloney, chief accountant in the SEC's enforcement division, said financial fraud is now “in many cases, harder to detect” than those earlier scandals, “but we do get there.” One aid to that detection is the “Accounting Quality Model,” a ...