SEC Related Content

SEC Charges Citigroup for Dark Pool Misrepresentations

The Securities and Exchange Commission entered an order finding that Citigroup Global Markets misled users of a dark pool operated by one of its affiliates. read more

SEC Charges 1 Global Capital, Former CEO with Defrauding Investors

The SEC announced charges against 1 Global Capital and its former CEO for allegedly defrauding at least 3,400 retail investors. read more

SEC Charges Moody’s With Control Failures, Ratings Deficiencies

The Securities and Exchange Commission announced Moody’s Investors Service agreed to pay a total of $16.25 million in penalties to settle charges involving internal control failures and failing to clearly define and consistently apply credit rating symbols. This marks the first time the SEC has filed an enforcement action involving rating symbol deficiencies. read more

Wells Fargo Settles Charges for Improper Sales of MLIs

The SEC announced Wells Fargo Advisors agreed to settle charges of misconduct in the sale of financial products known as market-linked investments to retail investors. read more

Yahoo to Pay $35MM for Failure to Disclose Cybersecurity Breach

The SEC announced the entity formerly known as Yahoo has agreed to pay a $35 million penalty to settle charges that it failed to disclose on the world’s largest data breaches. read more

SEC Charges Fintech Founder with Scheme to Defraud Investors

The SEC charged Michael Liberty, the founder of fintech startup now known as Mozido, with a scheme to trick hundreds of investors into investing in his shell companies instead of Mozido. read more

SEC Institutes Enforcement Action Against Deutsche Bank Securities

The SEC instituted an enforcement action against Deutsche Bank Securities for making false and misleading statements while negotiating sales of CMBS. The bank has agreed to pay more than $3.7 million to customers, which includes $1.48 million that was ordered as disgorgement. read more

SEC Investigates GE’s Revenue Recognition Practices

The Wall Street Journal reported that the Securities and Exchange Commission is looking into GE Capital’s revenue recognition practices for “long-term service contracts.” read more

Six CPAs Charged With Scheme to Improve Inspection Results for KPMG

The SEC charged six CPAs with using leaked confidential Public Company Accounting Oversight Board data in scheme to improve inspection results for KPMG. read more

Barclays Capital to Pay $97MM for Overcharging Clients

The SEC announced an enforcement action requiring Barclays Capital to refund advisory fees or sales charges to clients who were overcharged. read more

JPMorgan Chase Paying $264MM to Settle FCPA Charges

JPMorgan Chase agreed to pay more than $130 million to settle charges that it won business from clients and corruptly influenced government officials in violation of the Foreign Corrupt Practices Act. read more

SEC Announces Agenda, Panelists for Fintech Forum

The Securities and Exchange Commission announced the agenda and panelists for its November 14, 2016 forum to discuss fintech innovation in the financial services industry. read more

J.P. Morgan to Pay $267 Million for Disclosure Failures

The SEC announced two J.P. Morgan wealth management subsidiaries have agreed to pay $267 million and admit wrongdoing to settle charges they failed to disclose conflicts of interest to clients. read more

SEC Charges Phony Hedge Fund Manager with Defrauding Small Companies

The Securities and Exchange Commission announced fraud charges against a New Jersey man accused of posing as a hedge fund manager and defrauding small companies out of more than $4 million. read more

SEC Charges CSC and Former Executives with Accounting Fraud

The SEC charged Computer Sciences and former executives with manipulating financial results and concealing significant problems about the company’s largest and most high-profile contract. read more

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Terry Mulreany
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