Search Results for: US Securities and Exchange Commission (SEC)
KPMG US removes head of audit for ‘improper’ warnings
April 12th, 2017
The firm said it learned in late February, from an internal source, that an individual who had joined KPMG from the PCAOB subsequently received confidential information from a then-employee of the PCAOB, and shared that information with other KPMG ...
Morgan Stanley agreed to pay an $8 million penalty and admit wrongdoing
February 15th, 2017
The Securities and Exchange Commission (SEC) announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. The SEC’s ...
How a Broker defrauded customers for six years
October 20th, 2016
The Securities and Exchange Commission (SEC) has issued an announcement to inform for an administrative proceeding against an ex-LPL broker. According the announcement, SEC bars Paul Lebel, an LPL broker from 2008 to 2014 for churning and excessively trading ...
Facebook faces $5bn tax charge over Ireland asset transfer
October 13th, 2016
Social media giant Facebook could have to pay up to $5bn in additional taxes as a result of an Internal Revenue Service (IRS) investigation challenging the way in which it accounted for the transfer of assets to its Irish ...
U.S. Securities and Exchange Commission to Host Public Fintech Forum
September 28th, 2016
In an announcement today, the Securities and Exchange Commission said it will host a public forum to discuss Fintech innovation at its Washington D.C. headquarters in November. The Securities and Exchange Commission (SEC), the federal body which serves as ...
Nukkleus which obtained a shareholder stake in IBIH Limited the parent company of IronFX Global Group files Q2 financial report
August 22nd, 2016
Nukkleus Inc. has filled its Quarterly Report with the U.S. Securities and Exchange Commission (SEC) in the Form of FORM 10-Q/A, providing, among other, insights of the acquisition of a 9.9% shareholder stake in IBIH, as well as the acquisition ...
SecondMarket, Inc. and Bitcoin Investment Trust (BIT) Settle Charges
July 12th, 2016
SecondMarket, Inc. and Bitcoin Investment Trust (BIT) Settle Charges Relating to Unlawful Redemptions of BIT Shares during a Continuous Distribution The Securities and Exchange Commission announced that SecondMarket, Inc., a New York broker-dealer registered with the Commission, and Bitcoin Investment Trust (BIT), a ...
FINRA Fines Deutsche Bank Securities Inc. $6 Million
June 30th, 2016
The Financial Industry Regulatory Authority (FINRA) today announced it has fined Deutsche Bank Securities Inc. $6 million for failing to provide complete and accurate trade data in an automated format in a timely manner when requested by FINRA and ...
SEC: Morgan Stanley to pay a $1 million penalty for failures to Safeguard Customer Data
June 9th, 2016
The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered ...
SEC released: Nukkleus Inc. acquired 9.9% of IBIH Limited and 100% of Iron Australia
June 6th, 2016
The Securities and Exchange Commision (SEC) USA has issued today a press release in relation to the announcement of Nukkleus Inc. for the acquistion from IBIH 2,200 shares of capital stock of IBIH, representing 9.9% of the issued and ...
