- SEC Proposes Amendments to Implement JOBS Act Mandate for Exchange Act Registration Requirements December 18, 2014As mandated by the Jumpstart Our Business Startups Act (JOBS Act), the Securities and Exchange Commission has approved the issuance of proposed amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Exchange Act. The Commission voted yesterday on a propos […]
- SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors December 18, 2014The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved in a fraudulent boiler room scheme targeting seniors to invest in speculative start-up companies. The SEC alleges that Dwayne Malloy, Chris Damon, and Theirry Ruffin treated vulnerable older investors as their pe […]
- SEC Names Deputy Directors in the Division of Trading and Markets December 17, 2014The Securities and Exchange Commission today announced that Gary Barnett and Gary Goldsholle have been named as deputy directors in the Division of Trading and Markets. “I am pleased to announce these additions to our staff,” said Stephen Luparello, Director of the Division of Trading and Markets. “Each brings a wealth of experience that will help us execute […]
- SEC Charges Avon With FCPA Violations December 17, 2014The Securities and Exchange Commission today charged global beauty products company Avon Products Inc. with violating the Foreign Corrupt Practices Act (FCPA) by failing to put controls in place to detect and prevent payments and gifts to Chinese government officials from employees and consultants at a subsidiary. Avon entities agreed to pay a total of $135 […]
- SEC Imposes Sanctions Against Hong Kong-Based Firm and Two Accountants for Audit Failures December 17, 2014The Securities and Exchange Commission today imposed sanctions against a Hong Kong-based audit firm and two accountants for failing to properly audit year-end financial statements of a company that the SEC has charged with fraud. An SEC investigation found that Baker Tilly Hong Kong Limited, its director Andrew Ross, and its former director Helena Kwok ignor […]
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
Sorry, no posts matched your criteria.