- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC has extracted a $6.2 million settlement from KPMG over charges that the firm and an engagement partner failed to properly audit valuations in 2011.
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RTX Corp., the parent company of Raytheon, disclosed in a public filing it has reserved $1.24 billion to resolve legacy legal matters with the Department of Justice, Securities and Exchange Commission, and Department of State.
The Financial Industry Regulatory Authority announced the appointments of Tina Gubb, effective Monday, and Julie Glynn, effective Sept. 1, as senior vice presidents of enforcement.
The Securities and Exchange Commission announced that Division of Examinations Deputy Director Keith Cassidy, who was named interim acting co-director a year ago, will serve as interim acting director going forward.
