- Thu, 23 Apr 2015 18:05:26 +0000: Firm to Pay $90K in Settlement With SEC Over Sale of Puerto Rico Bonds - Bond Buyer - "SEC Enforcement Division" - Google NewsFirm to Pay $90K in Settlement With SEC Over Sale of Puerto Rico Bonds
"Without commenting specifically on this action, we do sometimes offer incentives for parties to resolve violations at an early stage and those incentives may not be available once an investigation proceeds to a later stage," said SEC Enforcement ...
and more »
- Wed, 22 Apr 2015 20:43:02 +0000: SEC Issues Whistleblower Award to Compliance Officer - Compliance Week (subscription) (blog) - "SEC Enforcement Division" - Google NewsSEC Issues Whistleblower Award to Compliance Officer
Compliance Week (subscription) (blog)
“When investors or the market could suffer substantial financial harm, our rules permit compliance officers to receive an award for reporting misconduct to the SEC,” said Andrew Ceresney, Director of the SEC's Enforcement Division. “This compliance ...
and more »
- Wed, 22 Apr 2015 18:51:21 +0000: UPDATE 1-Goldman-linked firm settles SEC charges over going 'dark' - Reuters - "SEC Enforcement Division" - Google NewsUPDATE 1-Goldman-linked firm settles SEC charges over going 'dark'
"This action should send the message that there will be consequences for such lapses," said Andrew Ceresney, director of the SEC enforcement division. "When companies cease disclosures to the public and go dark, they must ensure that they accurately ...
and more »
- Mon, 20 Apr 2015 20:10:16 +0000: Hearing starts in SEC fraud case against Laurie Bebo - Milwaukee Business Journal - "SEC Enforcement Division" - Google News
Milwaukee Business JournalHearing starts in SEC fraud case against Laurie Bebo
Milwaukee Business Journal
The SEC's enforcement division said Assisted Living Concepts listed fake occupants at some senior residences between 2009 and 2012 in order to meet the requirements of a lease to operate the facilities. The agency alleges that Bebo and former chief ...
- Mon, 20 Apr 2015 18:16:09 +0000: SEC Fines BlackRock Over Energy Fund Manager Who Owned Oil Company - ThinkAdvisor - "SEC Enforcement Division" - Google News
ThinkAdvisorSEC Fines BlackRock Over Energy Fund Manager Who Owned Oil Company
“This is the first SEC case to charge violations of Rule 38a-1 for failing to report a material compliance matter such as violations of the advisor's policies and procedures to a fund board,” Julie Riewe, co-chief of the SEC Enforcement Division's ...
BlackRock agrees to pay $12m to settle SEC charge
BlackRock Agrees to Pay $12 Million Over SEC Conflicts Claim
Bloomberg all 64 news articles »