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

JAN 23, 2018 - 7:12 am

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

MAY 12, 2017 - 7:32 am

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

NOV 18, 2016 - 6:56 am

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

NOV 7, 2016 - 7:04 am

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

DEC 21, 2015 - 6:45 am

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

JUN 12, 2015 - 7:38 am

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

JUN 8, 2015 - 7:30 am

Bloomberg reported the SEC’s enforcement division is looking at whether senior asset-management executives at JPMorgan Chase developed a policy of improperly steering clients into investments for the bank’s own financial gain. read more

MAR 31, 2015 - 7:26 am

The SEC announced a series of federal securities law violations by S&P involving fraudulent misconduct in its ratings of certain commercial mortgage-backed securities. read more

JAN 26, 2015 - 7:24 am