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8 Aug 2023, 9:31 am
He can be reached at 617-823-3217 or Jeff@JeffNewmanLaw.com The post 11 Wall Street firms charged by SEC with widespread recordkeeping failures penalties total $289 million appeared first on Jeff Newman Law. [read post]
5 Nov 2011, 7:26 pm
Without denying or admitting to wrongdoing, Banco Espirito Santo S.A. a banking conglomerate based in Portugal, has consented to pay nearly $7M in disgorgement, prejudgment interest, and civil penalties to settle Securities and Exchange Commission allegations that it violated securities transaction, investment adviser, and broker-dealer registration requirements. [read post]
8 Dec 2015, 4:29 pm
First, in a November 10, 2015 article (here), the Wall Street Journal reported that there was evidence that Vale was dumping debris from its own nearby iron-ore mines into Samarco’s waste reservoirs. [read post]
19 Aug 2020, 8:29 am
Read the Wall Street Journal’s article here. [read post]
29 Jan 2019, 3:12 pm
On January 29, 2019, the Wall Street Journal reported that Brazil’s Prosecutor General, Raquel Dodge, said she would pursue criminal charges against Vale, Brazil’s largest iron ore miner. [read post]
7 Aug 2017, 6:59 am
Productos Lacteos Tocumbo S.A., No. 11-1623 (D.D.C. [read post]
13 Feb 2012, 3:40 pm
The Wall Street Journal, Bloomberg and others are reporting that the Competition Bureau (the “Bureau”) is investigating alleged price-fixing in the setting of interbank lending rates. [read post]
24 Aug 2022, 9:01 pm
” Without admitting or denying the SEC’s findings, BNY Mellon agreed to a cease-and-desist order, censure, and payment of a $1.5 million penalty.[14] On June 10, 2022, the Wall Street Journal reported that the SEC was investigating Goldman Sachs Group Inc. for its management of ESG investment funds. [read post]
25 Jul 2011, 2:00 am
The SEC Approves Final Rules To Implement The Dodd-Frank Whistleblower Provision In May 2011, by a vote of 3-2, the SEC adopted final rules (“Whistleblower Rules”) to implement the whistleblower bounty program mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
23 Oct 2013, 1:09 pm
Earlier this year, French oil giant Total S.A. agreed to pay $398 million to settle FCPA charges. [read post]
10 Dec 2014, 4:37 am
Second, on December 8, 2014, a plaintiff shareholder filed a securities class action in lawsuit in the Southern District of New York against Petroleo Brasileiro, S.A. [read post]
15 Feb 2012, 2:40 pm
The Wall Street Journal, Bloomberg, Globe and Mail and others have reported that the Competition Bureau (the “Bureau”) is investigating alleged price-fixing in the setting of interbank lending rates. [read post]
27 Jan 2009, 1:13 pm
According to a January 27, 2009 Wall Street Journal article (here), Banco Santander is offering its private banking clients up to $1.79 billion in compensation for losses from the Madoff scheme. [read post]
11 Aug 2008, 8:44 am
In recent days, settlements relating to two high-profile securities class action lawsuits were announced. [read post]
2 Dec 2008, 12:53 am
The latest example of this type of securities litigation involves a case filed on November 26, 2008 in the Southern District of Florida against Brazilian forest products manufacturer Aracruz Cellulose S.A. and certain of its directors and officers on behalf of investors who purchased the company’s American Depositary Receipts on the NYSE., as well as purchasers of the company’s common stock, which trades on the Sao Paulo Bovespa. [read post]
3 Jul 2008, 5:06 pm
Indeed, the Wall Street Journal, in a July 3, 2008 editorial (here), congratulates Grasso and fellow defendant Kenneth Langone for their success in fighting the lawsuit, which the Journal viewed as an example of the overreaching of former New York AG Eliot Spitzer. [read post]
30 Nov 2022, 2:13 pm
”[17] The court disagreed, stating: “The efficient price is not set by an invisible hand that instantly reflects new information in a security’s price, but through the dynamic, high-volume exchange of a security over an appropriate window of time. [read post]
3 Oct 2023, 10:10 am
While they are affixed to a specific location, such as a street light or a telephone pole, these cameras can be controlled remotely. [read post]
23 Feb 2016, 7:36 am
The presentations covered an array of topics, but common themes included the Commission’s ongoing effort to carry out the rulemaking agenda set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act, its increasing focus on cyber issues including its use of new technology to surveil and root out harmful practices in the modern and increasingly-complex market, and its continued focus on the conduct of gatekeepers. [read post]
30 Jul 2012, 9:49 am
The seller was Coral Gables, Florida based EuroBank, a subsidiary of Banco do Brasil S.A. [read post]
