SEC Charges Roadrunner Transportation Systems Executives With Accounting Fraud

Peter Armbruster, Bret Naggs and Mark Wogsland are charged with fraud by the SEC Washington DC…

Business News: VF Corporation Announces Public Filing of Form 10 Registration Statement for Planned Separation of Kontoor Brands, Inc., Availability of Investor Presentation

GREENSBORO, NC (STL.News) – VF Corporation (NYSE: VFC), a global leader in branded lifestyle apparel, footwear…

SEC News: SEC Charges College Official, Keith Borge, for Fraudulently Concealing Financial Troubles From Municipal Bond Investors

Washington DC (STL.News) – The Securities and Exchange Commission Thursday charged the former controller of a New…

SEC News: Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements

Washington DC – (STL.News) – The Securities and Exchange Commission and the United Kingdom (UK) Financial Conduct…

SEC News: SEC Charges Medical Device Company, Fresenius Medical Care AG & Co, With FCPA Violations

Washington DC (STL.News) – The Securities and Exchange Commission Friday announced that Fresenius Medical Care AG &…

SEC News: Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office

Washington DC (STL.News) – The Securities and Exchange Commission today announced that Justin C. Jeffries has been…

SEC News: SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During “Clean Diesel” Emissions Fraud

Washington DC (STL.News) – The Securities and Exchange Commission yesterday charged Volkswagen AG, two of its subsidiaries,…

SEC News: Wedbush Settles Failure to Supervise Charge

Washington DC (STL.News) – The Securities and Exchange Commission announced today that Wedbush Securities Inc. will pay…

SEC News: SEC Names Gabriel Benincasa As Its First Chief Risk Officer

Washington DC (STL.News) — The Securities and Exchange Commission today announced that Gabriel Benincasa has been named…

Business News: SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Management, Cybersecurity

Washington D.C. (STL.News) – The Commission yesterday modified the submission deadlines for registered investment companies filing non-public…

SEC News: Two Alleged Market Manipulators, David Aubel and Robert Raffa, Sentenced in Parallel Criminal Case

Securities and Exchange Commission v. David Aubel and Robert Raffa, No. 16-CV-10670 (D. Mass. filed Apr.…

Massachusetts News: Idaho Man, Samuel Brown Sentenced for Engaging in Penny Stock Fraud and Making False Statements to the SEC

BOSTON, Ms. – An Idaho man was sentenced yesterday in federal court in Boston for participating…

SEC News: SEC Charges Four Public Companies With Longstanding ICFR Failures

Washington DC – Jan. 29, 2019 — The Securities and Exchange Commission today announced settled charges against…

SEC News: JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs

Washington D.C. – The Securities and Exchange Commission (SEC) today announced that JPMorgan Chase Bank N.A. will…

SEC News: SEC Obtains Judgment Against, John T. Place, Former CEO in Transition Management Fraud Case

U.S. Securities and Exchange Commission v. John T. Place, et al., No. 16-cv-04291 (E.D. Pa. filed…

Business News: Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule

Washington DC – Five federal financial regulatory agencies on Friday invited public comment on a proposal that…

SEC News: SEC Charges an Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors

Securities and Exchange Commission v. Robert S. “Lute” Davis, Jr., et al., No. 2:18-cv-10481 (C.D. Cal.…

SEC News: SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A

Washington D.C. – The Securities and Exchange Commission (SEC) adopted final rules to allow reporting companies to rely…

SEC News: SEC Charges Former Panasonic Executives, Paul A. Margis

Washington DC – The Securities and Exchange Commission (SEC) today charged two former senior executives of the U.S.…

SEC News: SEC Adopts Final Rules for Disclosure of Hedging Policies

Washington DC – The Securities and Exchange Commission (SEC) today approved final rules to require companies to disclose…

SEC News: Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service

Washington DC – The Securities and Exchange Commission (SEC) today announced that Scott W. Bauguess, Deputy Director of…

SEC News: SEC Obtains Final Judgment Against Suburban Chicago Tech Executive, Gregory E. Webb

SEC v. Gregory E. Webb, et al., No. 11-CV-7152 (N.D. Ill. filed Oct. 11, 2011) WASHINGTON…

SEC News: SEC Charges Former New York Investment Advisor, Hector May and Daughter, Vania Bell, With Conducting a Ponzi Scheme

Washington D.C. – The Securities and Exchange Commission (SEC) today charged a former Rockland County, New York-based investment…

SEC News: SEC Halts Alleged Insider Trading Ring Spanning Three Countries

Securities and Exchange Commission v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni, No. 18-CV-11390…

SEC News: SEC Files Subpoena Enforcement in Possible Market Manipulation Scheme

Securities and Exchange Commission v. NVC Fund LLC and Frank Ekejija, No. 2:18-mc-00164 (C.D. Cal. filed…

Business News: SEC Charges Owner of Options Trading Website for Defrauding Retail Investors

Securities and Exchange Commission v. Mark Suleymanov, No. 2:18-cv-06854 (E.D.N.Y. filed December 3, 2018) WASHINGTON –…

SEC News: SEC Charges Kentucky Man for Role in Nationwide Oil Investment Scheme

Securities and Exchange Commission v. Jared Gabriel Forrester, Civil Docket No. 4:18-cv-00283-RSB-JEG (S.D. Ga. filed November…

SEC News: SEC Obtains Final Judgement Against Steven A. Newman

SEC v. Zev Saltsman, et al., Civil Action No. 07-CV- 4370 (NGG) (E.D.N.Y.) (filed October 19,…

Alabama News: Securities Commission Announces “IARD System Fee Waiver for Investment Adviser Firms Reduced System Fees Continued for Investment Adviser Representatives

MONTGOMERY, AL – The Alabama Securities Commission today announced the waiver of the Investment Adviser Registration Depository…

Securities and Exchange Commission News: Kurt Gottschall Named Director of Denver Office

Washington D.C. – The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named…