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SEC

Securities Exchange Commission

Investment Adviser Fraudulently Overbilled Clients, Stole Assets for Personal Expenses

31/10/2016(0)
The Securities and Exchange Commission today charged a Los-Angeles based investment advisory firm and its owner with fraudulently overbilling clients and stealing assets from their trusts to pay such ... Read More
Securities Exchange Commission

Embraer Paying $205 Million to Settle FCPA Charges

25/10/2016(0)
The Securities and Exchange Commission today announced a global settlement along with the U.S. Department of Justice and Brazilian authorities that requires aircraft manufacturer Embraer S.A. to pay more ... Read More
Securities Exchange Commission

SEC Charges Board Member With Insider Trading During and After Board Meeting

24/10/2016(0)
The Securities and Exchange Commission today charged a Tennessee-based lawyer who served on the executive committee of the board of directors at Nashville-based Pinnacle Financial Partners with insider trading ... Read More
Securities Exchange Commission

Company and Former Executives Paying Penalties for Accounting Violations

21/10/2016(0)
The Securities and Exchange Commission today announced that a Houston-based technology solutions company has agreed to pay a $2.5 million penalty to settle charges that it overstated profits in ... Read More
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How a Broker defrauded customers for six years

20/10/2016(0)
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 ... Read More
Securities Exchange Commission

SEC: Israeli-based Bank Leumi has agreed to pay $1.6 million to settle charges

19/10/2016(0)
SEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business The Securities and Exchange Commission today announced that Israeli-based Bank Leumi has agreed to pay $1.6 million and admit ... Read More
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Company to pay a $50,000 penalty for illegally offering complex derivatives products to retail investors

14/10/2016(0)
The Securities and Exchange Commission announced that a New York-based company has agreed to pay a $50,000 penalty for illegally offering complex derivatives products to retail investors through mobile phone ... Read More
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Facebook faces $5bn tax charge over Ireland asset transfer

13/10/2016(0)
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 ... Read More
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SEC: Deutsche Bank to pay a $9.5 million penalty

13/10/2016(0)
The Securities and Exchange Commission today announced that Deutsche Bank Securities has agreed to pay a $9.5 million penalty for failing to properly safeguard material nonpublic information generated by ... Read More
Securities Exchange Commission

Credit Suisse Paying $90 Million to settle charges

06/10/2016(0)
The Securities and Exchange Commission today announced that Credit Suisse AG has agreed to pay a $90 million penalty and admit wrongdoing to settle charges that it misrepresented how ... Read More
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