2016 SEC trial scorecard update: agency undefeated after three trials
On Monday, February 29, 2016, a jury in the U.S. District Court for the Southern District of New York returned a verdict in favor of the SEC in the agency's third federal court trial of FY 2016. The agency remains undefeated in FY 2016having been successful in SEC v. Payton ...
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
ArticleBroker-dealer Canaccord pays $80M to FinCEN, admits to willful BSA violations
Financial services company Canaccord has been hit with an $80 million penalty by the U.S. Treasury’s Financial Crimes Enforcement Network (FInCEN)–the largest FinCEN penalty against a broker-dealer in its history.
-
OpinionInstitutional resilience: Why remediation fails without independent governance challenge
Changing governance and internal controls in response to recent enforcement actions cannot mask a fundamental deficiency: remediation is not changing the way decisions are being made, allowing the same mistakes to happen over and over.
-
ArticleFTC’s two commissioners vote to order Walmart to pay $100M to settle gig driver allegations
Walmart has agreed to pay $100 million to settle allegations that it deceived delivery drivers about their pay and tips, the Federal Trade Commission announced.