Corporate Governance
Corporate Governance Articles
The SEC has announced that Morgan Stanley Smith Barney has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information.
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A rumor Wednesday morning suggested that the former CEO was interested in putting together a takeover bid for LendingClub.
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The SEC has announced that it barred a former corporate vice president and suspended a former controller that were involved with false accounting at a New York-based electronics company.
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Akamai Technologies and Nortek will forfeit ill-gotten gains connected to bribes paid to Chinese officials by foreign subsidiaries.
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The U.S. Securities and Exchange Commission (SEC) recently charged two men from Rhode Island with insider trading in the securities of deal targets being pursued by the pharmaceutical company where...
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The SEC has charged a New York City-based trader with defrauding investors by misrepresenting her investment track record, the profitability of her investments and her use of investor funds.
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The SEC has announced fraud charges and an asset freeze against a husband and wife accused of misusing money they raised from investors for the purpose of building and operating a new cancer...
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The U.S. Securities and Exchange Commission (SEC) charged a North Carolina-based investment adviser with defrauding investors.
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The SEC has charged a Wall Street-based brokerage firm with failing to sufficiently evaluate or monitor customers’ trading for suspicious activity as required under the federal securities laws.
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The SEC has announced that a Maryland-based private equity fund advisory firm and its owner have agreed to pay more than $3 million to settle charges.
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The U.S. Securities and Exchange Commission (SEC) has recently charged two California men and their investment firm with operating a Ponzi scheme. They claimed to specialize in serving middle-class...
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The SEC has charged a Nashville-based investment advisory firm and its owner with scheming to collect extra monthly fees from a pair of hedge funds they managed.
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The SEC has announced that a California-based mortgage company and six of its senior executives have agreed to pay more than $12 million to settle charges.
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Staples Inc. (NASDAQ: SPLS) made waves Wednesday morning, after Ron Sargent announced that he will step down from his position of chief executive officer.
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The SEC has announced insider trading charges against an investment banker and his close friend, a plumber.
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