How Individuals Can Win Non-Prosecution Agreements With the SEC

By Jaclyn Jaeger2012-04-10T00:00:00

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SEC orders Meta Materials to pay $1M over market manipulation, fraud

2024-06-26T13:54:00Z By Adrianne Appel

A Nevada energy and manufacturing company headquartered in Nova Scotia agreed to pay $1 million to settle charges levied by the Securities and Exchange Commission for alleged market manipulation and fraud, while the agency further investigates its former chief executives.
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Compliance Rescues Morgan Stanley From FCPA Prosecution

2012-05-08T00:00:00Z By Jaclyn Jaeger
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San Francisco firm pays $11.4M for alleged Russia-related sanctions violations

2025-12-03T17:18:00Z By Adrianne Appel

A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.