U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
The SEC has announced proceedings against a PricewaterhouseCoopers audit partner who served as engagement partner for the independent audits of a venture capital fund.
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The SEC has announced that a New York-based audit firm and a senior partner agreed to settle charges that they issued fraudulent audit reports in connection with municipal bond offerings.
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The SEC has charged a Los-Angeles based investment advisory firm and its owner with fraudulently overbilling clients and stealing assets from their trusts to pay for personal expenses.
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These new SEC rules and regulations are rather important. They will set the term for individuals and small companies who want to raise capital.
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Aircraft manufacturer Embraer will pay over $205 million to resolve alleged violations of the Foreign Corrupt Practices Act.
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The SEC has charged a Tennessee-based lawyer who served on the executive committee of the board of directors at Nashville-based Pinnacle Financial Partners with insider trading.
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The SEC has announced that a Houston-based technology solutions company has agreed to pay a greater than $2 million penalty to settle charges that it overstated profits in one of its business...
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The U.S. Securities and Exchange Commission (SEC) recently announced that Israeli-based Bank Leumi has agreed to pay $1.6 million and admit wrongdoing to settle charges. In terms of the charges the...
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The U.S. Securities and Exchange Commission (SEC) recently announced that Ernst & Young has agreed to pay over $11.8 million to settle charges related to failed audits of an oil services company...
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The U.S. Securities and Exchange Commission (SEC) recently charged an energy services provider and four executives for their roles in an accounting fraud in which the company recognized revenue...
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A New York-based company has agreed to pay a penalty for illegally offering complex derivatives products to retail investors through mobile phone games that were described as "fantasy sports for...
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The SEC has announced that a hedge fund advisory firm and a senior research analyst have agreed to settle charges related to their failures to detect insider trading by one of their employees.
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The U.S. Securities and Exchange Commission (SEC) recently announced that Deutsche Bank (NYSE: DB) has agreed to pay a $9.5 million penalty for failing to properly safeguard material nonpublic...
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The SEC has announced that in its fiscal year 2016 the agency filed 868 enforcement actions, a new single year high for such actions.
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The U. S. Securities and Exchange Commission (SEC) recently announced that Credit Suisse Group A.G. (NYSE: CS) has agreed to pay a $90 million penalty and admit wrongdoing to settle charges that it...
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