- SEC Sanctions Florida-Based Auditor for Circumventing Rules October 24, 2014The Securities and Exchange Commission today sanctioned a Florida-based auditor for violating federal laws and regulations requiring lead audit partners to periodically rotate off their audit engagements with a publicly traded company in order to preserve the integrity of the financial reporting process. The lead partner primarily responsible for the audit […]
- SEC Charges New Jersey Man in Insider Trading Case Involving Pharmaceutical Companies October 24, 2014The Securities and Exchange Commission today announced insider trading charges against a New Jersey man who generated nearly $700,000 in illicit profits trading in the securities of two pharmaceutical companies that were about to be acquired. The SEC charged his source of nonpublic information earlier this month. The SEC alleges that David Post of Livingsto […]
- Rengan Rajaratnam Agrees to Settle Insider Trading Charges October 23, 2014The Securities and Exchange Commission today announced that former hedge fund manager Rajarengan “Rengan” Rajaratnam has agreed to pay more than $840,000 and accept securities industry bars in order to settle the agency’s insider trading case against him. The SEC filed civil charges in March 2013 against Rengan Rajaratnam for his role in the widespread insid […]
- Six Federal Agencies Jointly Approve Final Risk Retention Rule October 22, 2014JOINT RELEASE Board of Governors of the Federal Reserve System Department of Housing and Urban Development Federal Deposit Insurance Corporation Federal Housing Finance Agency Office of Comptroller of the Currency Securities and Exchange Commission Six federal agencies approved a final rule requiring sponsors of securitization transactions to retain r […]
- Office of Municipal Securities Director John Cross to Leave SEC October 21, 2014The Securities and Exchange Commission today announced that John J. Cross III, Director of the Office of Municipal Securities, will leave the agency in November. Since September 2012, Mr. Cross has served as the first Director of the Office of Municipal Securities, which was established under the Dodd-Frank Act to oversee the municipal securities market. Th […]
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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