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24 Feb 2021, 12:39 pm by jeffreynewmanadmin
Credit ratings are used by market participants to help evaluate credit risk, price certain securities, and guide the investment decisions of individuals […] The post SEC charges ratings agency Morningstar for violating disclosure and internal controls provisions of the securities laws appeared first on Jeffrey Newman Law. [read post]
24 Feb 2021, 12:13 pm by jeffreynewmanadmin
  The SEC previously charged the college’s former controller with fraud in connection with the college’s fiscal […] The post SEC suspends and and charges two former KPMG auditors for improper conduct during audit of not for profit New Rochelle College appeared first on Jeffrey Newman Law. [read post]
19 Feb 2021, 12:33 pm by jeffreynewmanadmin
Credit ratings are used by market participants to help evaluate credit risk, price certain securities, and guide the investment […] The post SEC lawsuit charges former credit relating agency Morningstar Credit Ratings LLC violated securities laws regarding internal controls appeared first on Jeffrey Newman Law. [read post]
11 Feb 2021, 2:25 pm by jeffreynewmanadmin
  Those subject to this new law include banks, credit unions, money service firms, […] The post New Treasury Department whistleblower rewards anti-money laundering treasury law expected to lead to large rewards in bank investigations appeared first on Jeffrey Newman Law. [read post]
10 Feb 2021, 2:05 pm by jeffreynewmanadmin
The U.S. attorney’s office in Massachusetts and the Securities and Exchange Commission (SEC) […] The post SEC charges biotech consultant Mark Ahn with insider trading information he learned from his time consulting for Abeona Therapeutics appeared first on Jeffrey Newman Law. [read post]
6 Feb 2021, 11:59 am by jeffreynewmanadmin
The SEC’s complaint alleges […] The post SEC charges CEO and owner of GPB Capital and Ascendant Capital $1.7 BILLION Ponzi like scheme based on whistleblower SEC filing appeared first on Jeffrey Newman Law. [read post]
5 Feb 2021, 2:36 pm by jeffreynewmanadmin
Researchers from Washington State University, Pennsylvania State University, and Miami University studied more than 250 U.S. public corporations that were involved in financial securities fraud identified in Securities and […] The post Growing Fortune 500 firms much more likely to commit financial fraud than smaller struggling companies major study shows appeared first on Jeffrey Newman Law. [read post]
28 Jan 2021, 1:29 pm by jeffreynewmanadmin
In a complaint , the […] The post Athenahealth Inc. of Watertown Massachusetts pays $18.25 million to settle kickback allegations for its electronic health reords products appeared first on Jeffrey Newman Law. [read post]
27 Jan 2021, 1:07 pm by jeffreynewmanadmin
The bill, signed by Mayor Bowser on January 13, […] The post District of Columbia expands whistleblower law to allow individuals to bring suits for tax law violations and win awards upto 30% appeared first on Jeffrey Newman Law. [read post]
12 Jan 2021, 1:19 pm by jeffreynewmanadmin
According to admissions and court documents, between 2009 and 2016, Deutsche Bank, acting through its […] The post Deutsche Bank pays $130 million to settle SEC DOJ investigation into foreign bribes and manipulation of commodities markets appeared first on Jeffrey Newman Law. [read post]
28 Dec 2020, 2:10 pm by jeffreynewmanadmin
The SEC says that Pruco, a registered investment adviser and broker-dealer, recommended clients buy and hold mutual fund share classes paying 12b-1 […] The post Prudential subsidiary Pruco Securities settles SEC case for $18.3 million on allegations of breach of fiduciary duty on mutual fund selections appeared first on Jeffrey Newman Law. [read post]
22 Dec 2020, 12:22 pm by jeffreynewmanadmin
The complaint alleges that this unlawful conduct resulted in hundreds of thousands of violations of the Controlled […] The post DOJ sues Walmart nationwide for dispensing controlled substances to pharmacies through prescription opioid crisis appeared first on Jeffrey Newman Law. [read post]
19 Dec 2020, 7:44 am by jeffreynewmanadmin
Texas Heart Hospital of the Southwest LLP, a partially physician-owned hospital in Plano, Texas, and its wholly owned subsidiary, THHBP Management Company LLC (collectively, the “Heart Hospital”) have agreed to pay the United States $48 million to resolve claims that the Heart Hospital violated the False Claims Act by knowingly submitting claims to the Medicare […] The post Texas Heart Hospital pays $48 million to settle kickbacks case with Department of Justice and MD… [read post]
18 Dec 2020, 11:35 am by jeffreynewmanadmin
(Biogen), based in Cambridge, Massachusetts, has agreed to pay $22 million to resolve claims that it violated the False Claims Act by illegally using foundations as a conduit to pay the copays of Medicare patients taking […] The post Biogen pays $22 million to settle False Claims Act case for paying kickbakcs appeared first on Jeffrey Newman Law. [read post]
18 Dec 2020, 5:56 am by jeffreynewmanadmin
The SEC says that because the firm received “unusually high payment for order flow rates,” customers’ orders were executed at worse prices […] The post Robinhood pays $65 million to settle charges over omissions in statements about selling customer order info to trading firms for big money appeared first on Jeffrey Newman Law. [read post]
15 Dec 2020, 2:16 pm by jeffreynewmanadmin
Individuals with audit or compliance responsibilities are usually not eligible for such SEC awards, but […] The post SEC awards more than $300,000 to a whistleblower with auditing responsibillities appeared first on Jeffrey Newman Law. [read post]
10 Dec 2020, 1:45 pm by jeffreynewmanadmin
That […] The post GE to pay $200 million to settle SEC investigation over disclosure issues in its gas-turbine and insurance programs appeared first on Jeffrey Newman Law. [read post]
9 Dec 2020, 8:40 am by jeffreynewmanadmin
The Securities and Exchange Commission said that the investigation […] The post BlueCrest Capital Management hedge fund to pay $170 million to settle SEC charges for failure to disclose internal investment fund appeared first on Jeffrey Newman Law. [read post]
8 Dec 2020, 7:50 am by jeffreynewmanadmin
In some cases, brokers […] The post Merrill Lynch to pay $26 million over financial advisors continued churning appeared first on Jeffrey Newman Law. [read post]
30 Nov 2020, 2:05 pm by jeffreynewmanadmin
The Department of Justice says that while cryptocurrency could fundamentally […] The post DOJ’s Cryptocurrency Enforcement Network to attack criminal activities as reports of fraud and theft mount appeared first on Jeffrey Newman Law. [read post]