- SEC Charges Former Executive at Tampa-Based Engineering Firm With FCPA Violations January 22, 2015The Securities and Exchange Commission today charged a former officer at a Tampa, Fla.-based engineering and construction firm with violating the Foreign Corrupt Practices Act (FCPA) by offering and authorizing bribes and employment to foreign officials to secure Qatari government contracts. The SEC also announced a deferred prosecution agreement (DPA) with […]
- SEC Charges Investment Adviser and Manager in South Florida-Based Fraud January 21, 2015The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a scheme that raised more than $17 million since November 2013. The SEC’s complaint filed in federal court in the Southern District of Florida last week charged Elm […]
- Investment Management Director Norm Champ to Leave SEC January 21, 2015The Securities and Exchange Commission today announced that Norm Champ, Director of the Division of Investment Management, will leave the agency later this month after five years serving in senior leadership positions. Mr. Champ played a key role in the SEC’s completion of landmark reforms in 2014 to strengthen the $3 trillion money market fund industry. He […]
- SEC Announces Charges Against Standard & Poor’s for Fraudulent Ratings Misconduct January 21, 2015The Securities and Exchange Commission today announced a series of federal securities law violations by Standard & Poor’s Ratings Services involving fraudulent misconduct in its ratings of certain commercial mortgage-backed securities (CMBS). S&P agreed to pay more than $58 million to settle the SEC’s charges, plus an additional $19 million to settle […]
- SEC Announces Charges Against Attorneys and Auditors in Microcap Scheme Involving Purported Mining Companies January 15, 2015The Securities and Exchange Commission today announced charges against attorneys, auditors, and others allegedly involved in a microcap scheme the agency stifled last year when it suspended the registration statements of 20 purported mining companies being used for sham offerings of stock to investors. The SEC Enforcement Division alleges that a Canada-based […]
Stock Fraud Blog (Latest)
FORT LAUDERDALE, Florida–(BUSINESS WIRE)–Soreide Law Group ha presentado demandas en nombre de los inversores que adquirieron fondos de bonos po...
The Securities and Exchange Commission (SEC) charged former JP Turner and Company, LLC, of Atlanta, broker Jason Konner for churning client...
TAG | FCP
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