- Readout of SEC Chair Mary Jo White’s Meeting with European Union Financial Services Commissioner Jonathan Hill February 26, 2015Securities and Exchange Commission Chair Mary Jo White hosted a meeting this morning with European Union Financial Services Commissioner Jonathan Hill. Chair White and Commissioner Hill discussed the importance of international cooperation in regulating global financial markets and a variety of other topics of mutual interest, including market structure, asset management, accounting standards and small […]
- SEC Salt Lake Office Director Karen Martinez to Retire From Public Service February 26, 2015The Securities and Exchange Commission today announced that Karen L. Martinez, Regional Director of the Salt Lake office, is leaving the agency and retiring this summer. Ms. Martinez joined the SEC’s Salt Lake office staff in 2002 as Trial Counsel, and she began supervising the office’s enforcement program in 2010 when she became Assistant Director. […]
- SEC Charges Goodyear With FCPA Violations February 24, 2015The Securities and Exchange Commission today charged Goodyear Tire & Rubber Company with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries paid bribes to land tire sales in Kenya and Angola. Goodyear agreed to pay more than $16 million to settle the SEC’s charges. According to the SEC’s order instituting a settled administrative […]
- SEC Charges Brothers-in-Law in Louisiana With Insider Trading February 19, 2015The Securities and Exchange Commission today announced insider trading charges against a former Fortune 500 company executive and his brother-in-law whom he allegedly tipped with nonpublic information ahead of the company’s merger. The SEC alleges that while serving as vice president of construction operations at Baton Rouge-based The Shaw Group, Scott Zeringue traded company securities […]
- SEC Charges New York-Based Brokerage Firm and CEO With Committing Fraud During CDO Liquidation Auctions February 19, 2015The Securities and Exchange Commission today charged a New York City-based brokerage firm and its CEO with fraudulently deceiving other market participants while conducting auctions to liquidate collateralized debt obligations (CDOs). An SEC investigation found that VCAP Securities and Brett Thomas Graham improperly arranged for a third-party broker-dealer to secretly bid at these same auctions […]
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...
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