The Securities and Exchange Commission today announced that Sweden-based Telefonaktiebolaget LM Ericsson was charged with engaging in a large-scale bribery scheme involving the use of sham consultants to secretly funnel money to government officials in… Original Source
Category: Regulatory
We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.
Jatindar Kapur, CPA
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, 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…
SEC Charges Trucking Executives With Accounting Fraud
The Securities and Exchange Commission today charged two former top executives of Indiana-based trucking company Celadon Group Inc. for their participation in an accounting fraud that inflated the company’s income and earnings per share.… Original Source
Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz
SEC Charges Iconix Brand Group and Former Top Executives with Accounting Fraud Original Source
SEC Releases Report on 38th Annual Small Business Forum
The Securities and Exchange Commission today released a report on the 38th Annual Government-Business Forum on Small Business Capital Formation.  The Forum is a unique event attended by SEC Commissioners and staff in which members of the public and… Original…
SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud
The Securities and Exchange Commission today charged brand-management company Iconix Brand Group Inc. and three of its former top executives with fraud. Iconix and two of its former executives have agreed to settle. The SEC’s litigation is… Original Source
Warren Clamen, CPA
Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission’s Rules of Practice, Making Findings,…
Lester Burroughs
SEC Charges Connecticut Man with Defrauding Retail Investors Original Source
SEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission today released the agenda for a Dec. 11 telephonic meeting of its Small Business Capital Formation Advisory Committee. The committee provides the Commission with advice and recommendations on Commission rules,… Original Source
Raymon Holmdahl, CPA
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to Be Filed with the Commission and as an Independent Accountant Original Source
SBB Research Group LLC, et al.
SEC Charges Hedge Fund Adviser and Top Executives with Fraud Original Source
Cboe Global Markets Reports November 2019 Trading Volume
CHICAGO – December 4, 2019 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, today reported November monthly trading volume. Original Source
Cboe Global Markets to Present at the Goldman Sachs U.S. Financial Services Conference on Tuesday, December 10
CHICAGO – December 4, 2019 – Cboe Global Markets, Inc. (Cboe: CBOE), one of the world’s largest exchange holding companies, announced today that Ed Tilly, Chairman, President and Chief Executive Officer, and Brian Schell, Executive Vice President, Chief Financial Officer…
Bristol-Myers Squibb Announces U.S. FDA Breakthrough Therapy Designation for ORENCIA® (abatacept) to Help Prevent Acute Graft-Versus-Host Disease, a Potentially Life-Threatening Complication After Stem Cell Transplant
Dateline City: PRINCETON, N.J.  PRINCETON, N.J.–(BUSINESS WIRE)–Bristol-Myers Squibb Company (NYSE: BMY) today announced that the U.S. Food and Drug Administration (FDA) has granted Breakthrough Therapy Designation for ORENCIA® (abatacept) for the prevention of moderate to severe acute graft-versus-host disease…
CFTC to Hold an Open Commission Meeting on December 10
Original Source
SEC Names Paul Munter as Deputy Chief Accountant
The Securities and Exchange Commission today announced the appointment of Paul Munter as a Deputy Chief Accountant (International) in the agency’s Office of the Chief Accountant. As Deputy Chief Accountant, Mr. Munter will lead the office’s… Original Source
SEC Names John Vanosdall as Deputy Chief Accountant
The Securities and Exchange Commission today announced the appointment of John Vanosdall as a Deputy Chief Accountant (Accounting Group) in the agency’s Office of the Chief Accountant. As Deputy Chief Accountant, Mr. Vanosdall will lead the… Original Source