- Tue, 30 Sep 2014 14:05:30 +0000: SEC exposes fraud scheme, arrests four - Insurance Business America - "SEC Enforcement Division" - Google NewsSEC exposes fraud scheme, arrests four
Insurance Business America
The SEC's Enforcement Division alleges that Meissner, Scott, and Tomich violated Section 15(a) of the Exchange Act, and is seeking disgorgement, penalties, and securities industry bars in the matter, which will be litigated before an administrative law ...
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- Tue, 30 Sep 2014 00:10:46 +0000: Former Wells Fargo employees face SEC insider trading charges - Charlotte Observer - "SEC Enforcement Division" - Google News
ForbesFormer Wells Fargo employees face SEC insider trading charges
“Bolan gave two traders a sneak preview into his upcoming ratings changes and provided them an unfair and illegal advantage on the rest of the markets,” said Daniel Hawke, chief of the SEC enforcement division's market abuse unit. Bolan, 37, was an ...
Wells Fargo employees charged with insider trading
HITC all 29 news articles »
- Mon, 29 Sep 2014 22:04:40 +0000: As SEC Enforcement Cases Rise, Big Actions Are Sparse - Wall Street Journal - "SEC Enforcement Division" - Google News
Wall Street JournalAs SEC Enforcement Cases Rise, Big Actions Are Sparse
Wall Street Journal
"But she's not going to have the really good cases that the SEC made its reputation on." Ms. White said the SEC's enforcement division has been highly successful in the past year, and aggressive enforcement will continue. "What is most impressive is ...
SEC's “Gatekeeper” Enforcement Initiative Impacts Directors
The National Law Review all 6 news articles »
- Mon, 29 Sep 2014 16:37:34 +0000: Bank of America fined $7.65M by SEC for miscalculating capital ratio - Charlotte Observer - "SEC Enforcement Division" - Google News
Charlotte ObserverBank of America fined $7.65M by SEC for miscalculating capital ratio
Andrew Ceresney, director of the SEC's enforcement division, said in a statement the size of the penalty reflects credit given to Bank of America for cooperating with the SEC's investigation. Since the disclosure of the error, the bank is developing ...
SEC fines Bank of America $7.65 million for self disclosed regulatory capital ...
Automated Trader all 124 news articles »
- Mon, 22 Sep 2014 20:18:57 +0000: T.J. Maloney's Private Equity Firm Pays $2.3 Million To Settle SEC Charges - Forbes - "SEC Enforcement Division" - Google News
ReutersT.J. Maloney's Private Equity Firm Pays $2.3 Million To Settle SEC Charges
“Lincolnshire's decision to integrate two portfolio companies owned by separate private equity funds resulted in the misallocation of expenses between the two companies,” said Julie Riewe, co-chief of the SEC enforcement division's asset management unit.
PE firm fined for violating fiduciary duty
BenefitsPro all 21 news articles »