Sweden-based telecommunications provider Telia Company AB has agreed to pay $965 million in a global settlement with the Securities and…
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Tag: Securities and Exchange Commission (SEC)
SEC charges SunTrust with improperly recommending higher-fee mutual funds
The Securities and Exchange Commission (SEC) announced that has charged the investment services subsidiary of SunTrust Banks with collecting more…
Read MoreSEC releases statement on T+2 implementation
Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant…
Read MoreSEC charges adviser with stealing investor funds
The Securities and Exchange Commission (SEC) announced that has charged a New Jersey-based tax preparer and investment adviser with stealing…
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SEC Chairman Clayton names executive staff
The Securities and Exchange Commission (SEC) announced that John Cook, Jeffrey Dinwoodie, Raquel Fox, Kristina Littman, Alan Cohen, Christopher Carofine,…
Read MoreSEC charges former pharma company accountant and three others with insider trading
The Securities and Exchange Commission (SEC) announced that has charged an accountant and three others with insider trading on market-moving…
Read MoreMuni bond issuer and underwriter charged with disclosure failures
The Securities and Exchange Commission (SEC) announced that a municipal financing authority in Beaumont, California, and its then-executive director have…
Read MoreSEC charges investment adviser with defrauding professional athlete and wife
The Securities and Exchange Commission (SEC) announced that has charged investment adviser Jeremy Drake with defrauding two clients, a high…
Read MoreHedge fund adviser charged for inadequate controls to prevent insider trading
The Securities and Exchange Commission (SEC) announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay…
Read MoreBanca IMI Securities to pay $35 million for improper handling of ADRs
The Securities and Exchange Commission (SEC) announced that broker Banca IMI Securities Corp. (BISC), an indirect, wholly-owned U.S. subsidiary of…
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