All enforcement actions articles

  • Blog post

    SEC enforcements against accountants taper, report says

    2018-08-23T15:30:00Z

    SEC enforcement actions against accountants have tapered off the past few years, according to a new analysis, while PCAOB actions jumped and remained high.

  • Blog post

    Wells Fargo settles with SEC over improper sales advice, strategy

    2018-06-26T13:00:00Z

    An SEC announcement says Wells Fargo Advisors will settle charges that its sales team pushed retail investors to cash out non-liquid investments before their maturity, unnecessarily costing them money but improving the firm’s profits.

  • Blog post

    CFPB slaps JPMorgan Chase over checking account screening

    2017-08-09T13:15:00Z

    The CFPB has reached a consent order with JPMorgan Chase Bank for alleged failures related to information it provides for checking account screening reports. It will pay a $4.6 million penalty and implement necessary changes to its policies to prevent future legal violation.

  • Blog post

    Podcast: The new era of regulatory enforcement

    2016-09-09T10:30:00Z

    Globalization, terrorist attacks, the digital world, and aftermath of the great recession are all shaping a complex business landscape with unprecedented risks. In our latest podcast, we talk to KPMG’s Timothy Hedley and Richard Girgenti about these challenges. Joe Mont has more.

  • Article

    Avoiding the Pitfalls of Data Mining

    2015-07-14T11:00:00Z

    In recent months, numerous companies have found themselves the target of legal and enforcement actions for obtaining or using personal data without consent. The kicker: Most of these actions could have been easily avoided, since most of the infractions were clear violations of contract law. “If companies simply complied with ...