Federal Reserve Board permanently bars former employee of J.P. Morgan Chase & Co. from the banking industry Original Source
Category: Regulatory
We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.
Cboe Announces Keynote Speakers and Agenda for 35th Annual Cboe Risk Management Conference U.S. 2019
CHICAGO – February 21, 2019 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, will host the 35th annual Cboe Risk Management Conference (RMCSM) U.S. on Monday, March 25, through Wednesday, March 27, 2019,…
Federal Court Imposes $15.7 Million Civil Penalty and Lifetime Trading Ban against Precious Metals Dealer and his Company in CFTC Anti-Fraud Action
The CFTC announced that J.S. District Court for the Western District of North Carolina entered a Supplemental Consent Order against Defendants Hannes Tulving, Jr. of Newport Beach, California, and his company The Tulving Company, Inc., finding that they fraudulently solicited customers in connection with…
Federal Court Imposes $15.7 Million Civil Penalty and Lifetime Trading Ban against Precious Metals Dealer and his Company in CFTC Anti-Fraud Action
The CFTC announced that J.S. District Court for the Western District of North Carolina entered a Supplemental Consent Order against Defendants Hannes Tulving, Jr. of Newport Beach, California, and his company The Tulving Company, Inc., finding that they fraudulently solicited customers in connection with…
Mathias Francisco Sandoval Herrera and Maria D. Cidre
SEC Obtains Final Judgments Against Former CEO and Former CFO of General Cable Corp. Operating Segment Original Source
Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant
The Securities and Exchange Commission today announced that Giles Cohen has been named Acting Chief Counsel, Office of the Chief Accountant (OCA). Mr. Cohen joined the SEC in 2005 as senior counsel in the Division of Enforcement, and later served…
Joseph Frank Vacante
SEC Settles with Biotech Insider Trader Original Source
SEC Names James P. McNamara as Chief Human Capital Officer
The Securities and Exchange Commission today announced that James P. McNamara has been named the agency’s Chief Human Capital Officer (CHCO) and Director of the Office of Human Resources (OHR). Mr. McNamara has served as Acting CHCO since April 2018.…
Spartan Securities Group, Ltd., Island Capital Management LLC, Carl E. Dilley, Micah J. Eldred and David D. Lopez
SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud Original Source
Cboe Global Markets to Present at the KBW Symposium on Thursday, February 28
CHICAGO – February 21, 2019 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, announced today that Ed Tilly, Chairman, President and CEO, will present at the KBW Cards, Payments and Financial Technology Symposium…
SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud
The Securities and Exchange Commission today announced charges against a broker-dealer, a transfer agent, and three individuals for their roles in the creation of over a dozen undisclosed “blank check” companies from 2009 to 2014. In its complaint, the SEC…
Minutes of the Federal Open Market Committee, January 29-30, 2019
Minutes of the Federal Open Market Committee, January 29-30, 2019 Original Source
Vishal Savla
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions Original Source
Cboe Global Markets to Present at the Citi Conference on Wednesday, February 27
CHICAGO – February 20, 2019 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, announced today that Ed Tilly, Chairman, President and CEO, will present at the Citi Asset Managers, Broker Dealers and Exchanges…
Company Settles Unregistered ICO Charges After Self-Reporting to SEC
The Securities and Exchange Commission today charged Gladius Network LLC with conducting an unregistered initial coin offering (ICO), which the company self-reported to the SEC. According to the SEC’s order, Gladius conducted an ICO in late 2017, after the…
Gladius Network LLC
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order Original Source
Trudy R. Gilmond
Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions Original Source
SEC Proposes to Expand “Test-the-Waters” Modernization Reform to All Issuers
The Securities and Exchange Commission voted to propose an expansion of a popular modernization reform that would permit investor views about potential offerings to be taken into account at an earlier stage in the process than is the case today. The new…