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8 Jun 2022, 11:39 am by jeffreynewmanadmin
The Securities and Exchange Commission today charged audit firm CohnReznick LLP with improper professional conduct on engagements for two clients in 2017. [read post]
17 Oct 2009, 10:39 pm
Securities and Exchange Commission named Adam Storch, a 29-year-old from Goldman Sachs Group Inc.'s business intelligence unit, as the enforcement division's first chief operating officer.Storch, who joined the SEC Oct. 13, was named to the newly created post of managing executive in the enforcement unit, charged with making the division more efficient, the SEC said today in a statement. [read post]
21 Jul 2013, 10:00 pm by Nietzer
., April 16, 2013)    The Securities and Exchange Commission today charged Parker Drilling Company, a worldwide drilling services and project management firm, with violating the Foreign Corrupt Practices Act (FCPA) by authorizing improper payments to a third-party intermediary retained to assist the company in resolving customs disputes. [read post]
26 Jul 2023, 10:50 am by jeffreynewmanadmin
HE CAN BE REACHED AT 617-823-3217 OR AT JEFF@JEFFNEWMANLAW.COM The post Securities and Exchange Commission adopts new rules to disclose cybersecurity attacks including foreign private issuers appeared first on Jeff Newman Law. [read post]
9 Mar 2023, 1:46 pm by jeffreynewmanadmin
The Securities and Exchange Commission today announced that Blackbaud Inc., a public company that provides donor data management software to non-profit organizations, agreed to pay $3 million to settle charges for making misleading disclosures about a 2020 ransomware attack that impacted more than 13,000 customers. [read post]
30 May 2021, 8:54 am by jeffreynewmanadmin
The Securities and Exchange Commission filed a lawsuit Friday in federal court in Manhattan alleging that five individuals promoted a global unregistered digital asset securities offering that raised over $2 billion from retail investors. [read post]
18 Jan 2023, 12:15 pm by jeffreynewmanadmin
The Securities and Exchange Commission has filed a case against Covington & Burling, one of the largest law firms in the United States, seeking an Order of the Court to compell it to comply with an SEC investigative subpoena relating to a Russian cyber attack around November 2020. [read post]
4 Apr 2023, 8:28 am by jeffreynewmanadmin
The post Securities and Exchange Commission charges Charlie Javice former owner of student loan assistance company Frank with fraud on sale appeared first on Jeff Newman Law. [read post]
15 May 2010, 5:00 am by J Robert Brown Jr.
At the Rocky Mountain Securities Conference held in Denver on Friday, May 7, I asked Commissioner Walter how things had changed at the Commission over her long experience with the agency. [read post]
28 Sep 2022, 8:06 am by jeffreynewmanadmin
The Securities and Exchange Commission has filed charges against 15 broker-dealers and an affiliated investment adviser for widespread failures by the firms and employees to maintain and preserve electronic communications in violation of securities laws. [read post]
25 May 2023, 7:24 am by jeffreynewmanadmin
The Securities and Exchange Commission (SEC) utilizes artificial intelligence (AI) techniques to help detect illegal insider trading and other forms of securities fraud. [read post]
6 Mar 2023, 2:13 pm by jeffreynewmanadmin
The Securities and Exchange Commission charged global mining and metals company, Rio Tinto plc, for violations of the Foreign Corrupt Practices Act (FCPA) arising from a bribery scheme involving a consultant in Guinea. [read post]
4 Aug 2020, 6:53 am by Silver Law Group
The post Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
15 Mar 2023, 8:23 am by jeffreynewmanadmin
Chinese businessman Miles Guo and his financial advisor William Je have been charged by the Securities and Exchange Commission for their involvement in unregistered and fraudulent offerings that raised more than $850 million. [read post]
15 Oct 2018, 7:12 am by Doug Cornelius
Sources: SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval Securities and Exchange Commission v. [read post]
25 Jul 2014, 9:35 am by Lax & Neville LLP
On July 22, 2014, the Securities and Exchange Commission (“SEC”) charged Kevin McGrath (“McGrath”), a partner and account executive at Cameron Associates (“Cameron”), an investor relations firm in New York City, with insider trading on confidential nonpublic information he learned about two Cameron clients for whom McGrath was performing work. [read post]