- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Two Citigroup affiliates—Citigroup Global Markets and Citigroup Alternative Investments—today agreed to pay nearly $180 million to the Securities and Exchange Commission to settle charges that they defrauded investors in two hedge funds by claiming they were safe, low-risk, and suitable for traditional bond investors. The funds later crumbled and eventually ...
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Citigroup Global Markets today reached a $15 million settlement with the Securities and Exchange Commission to settle charges that it failed to enforce policies and procedures to prevent and detect securities transactions that could involve the misuse of material, nonpublic information. The SEC also said the firm failed to adopt ...
Precision Toxicology has agreed to pay $27 million to settle allegations first brought by whistleblowers in three cases, that the company billed the federal government for unnecessary drug tests and paid kickbacks to doctors, the Department of Justice (DOJ) said.
Fund management company WisdomTree will pay $4 million to settle allegations by the Securities and Exchange Commission that it improperly invested in fossil fuel and tobacco companies in environmental, social and governance (ESG) funds despite promising to avoid them.
