By
Aaron Nicodemus2020-10-01T16:49:00
The former CCO of a New York City investment firm who impeded a Securities and Exchange Commission investigation into her employer has been fined $25,000 and suspended from practicing before the SEC for a year.
2021-06-03T20:40:00Z By Aaron Nicodemus
The New York City Bar Association has proposed a framework for regulators like the SEC to use when considering charging chief compliance officers for misconduct that occurs on their watch.
2020-12-15T19:24:00Z By Jaclyn Jaeger
A chief compliance officer is one of three individuals on the receiving end of SEC charges for illegally selling securities in unregistered transactions to retail investors while acting as an unregistered broker.
2020-10-26T16:33:00Z By Kyle Brasseur
Patent licensing firm Acacia Research Corp. announced the firing of its general counsel less than a month after she was fined $25,000 by the SEC for impeding an investigation into her former employer.
2025-11-20T18:52:00Z By Oscar Gonzalez
The parent company of a telecom subsidiary in Guatemala agreed to pay $118.2 million to settle allegations of improper payments made to government officials, but the U.S. Department of Justice chose not to impose a compliance monitor to administer the firm’s compliance with the Foriegn Corrupt Practices Act (FCPA).
2025-11-19T19:58:00Z By Adrianne Appel
A New Jersey and Midwest nursing home chain, and its former chief executive, must pay more than $146 million each for extensive health care fraud for engaging in widespread fraud related to Medicare and Medicaid.
2025-11-19T19:18:00Z By Oscar Gonzalez
The release of thousands of emails written by Jeffrey Epstein has sparked a political storm. One Democratic Senator is ramping up pressure for the U.S. Treasury to also disclose the deceased financier’s bank records.
Site powered by Webvision Cloud