SEC Charges Green Energy Company and Two Senior Officers with Offering Fraud Charges Original Source
Category: Regulatory
We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.
Raymond Starker
SEC Charges New Jersey Investor with Insider Trading Original Source
Wedbush Securities, Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Original Source
Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs
The Securities and Exchange Commission today announced that Wedbush Securities Inc. will pay more than $8.1 million to settle charges for improper handling of “pre-released” American Depositary Receipts (ADRs). This is the SEC’s 11th action against a bank or broker resulting from the…
SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
The Securities and Exchange Commission adopted amendments to the auditor independence rules relating to the analysis that must be conducted to determine whether an auditor is independent when the auditor has a lending relationship with certain shareholders of an audit…
SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
The Securities and Exchange Commission today requested public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections and to promote capital formation. “We are taking a critical look…
SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
The Securities and Exchange Commission today announced that Adam B. Glazer has been named Senior Advisor to the Director of the Division of Investment Management. Mr. Glazer started his new position on June 12. He will advise the Director of Investment Management on issues…
Jaswant Gill
Order Instituting Administrative Proceedings Pursuant to Section Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing Original Source
Maxwell Technologies, Inc., et al.
Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses Original Source
Michael Santicchia, CPA
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Original Source
Stephen D. Cheaney, CPA
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Original Source
Agencies release list of distressed or underserved nonmetropolitan middle-income geographies
Agencies release list of distressed or underserved nonmetropolitan middle-income geographies Original Source
Agencies issue final rule to streamline regulatory reporting requirements and commit to further review of reporting burdens for small institutions
Agencies issue final rule to streamline regulatory reporting requirements and commit to further review of reporting burdens for small institutions Original Source
KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
The Securities and Exchange Commission today charged KPMG LLP with altering past audit work after receiving stolen information about inspections of the firm that would be conducted by the Public Company Accounting Oversight Board (PCAOB). The SEC’s order also finds…
KPMG LLP
Order Instituting Public Administrative and Cease-And- And- Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist…
Federal Reserve Board requests public comment on technical updates to its Freedom of Information Act procedures and on changes to its rules governing the disclosure of confidential supervisory information
Federal Reserve Board requests public comment on technical updates to its Freedom of Information Act procedures and on changes to its rules governing the disclosure of confidential supervisory information Original Source
Alton Perkins, et al.
SEC Charges North Carolina Businessman and His Companies with Fraudulent Offering Scam Original Source
David Wagner, Downing Partners, LLC, Downing Investment Partners, LP, Downing Digital Healthcare Group, LLC, and Mark Lawrence
SEC Files Fraud Charges in Healthcare Investment Scheme Original Source