By
Jeff Dale2022-06-15T19:54:00
Weiss Asset Management reached a $6.9 million settlement with the Securities and Exchange Commission after it self-reported alleged short selling violations.
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2023-09-22T18:24:00Z By Kyle Brasseur
Miami-based broker-dealer Citadel Securities was fined $7 million as part of a settlement with the Securities and Exchange Commission addressing mismarked short and long sales caused by a coding error in the firm’s automated trading system.
2023-02-22T17:46:00Z By Adrianne Appel
Investment advisory firm HITE Hedge Asset Management and its private fund clients agreed to pay more than $220,000 to settle allegations the firm violated a Securities and Exchange Commission rule concerning short selling.
2026-01-08T18:27:00Z By Ruth Prickett
Financial markets thrive on consistent rules across the widest markets. This is the thinking behind the European Commission’s package of measures intended to simplify and streamline the zone’s single market for financial services.
2026-01-06T17:38:00Z By Adrianne Appel
Teledyne will pay more than $1.5 million to settle allegations it supplied electronic parts to the Navy that deviated from specifications, a violation of the False Claims Act (FCA). But its cooperation with prosecutors earned it a credit, according to the U.S. Department of Justice (DOJ).
2026-01-05T21:47:00Z By Adrianne Appel
An industrial products distributor has agreed to pay $54.4 million to settle allegations, first made by a whistleblower, that it evaded tariffs and violated the federal False Claims Act.
2025-12-24T16:46:00Z By Jaclyn Jaeger
Companies that import goods into the United States will face heightened enforcement scrutiny for attempted acts of customs fraud, including tariff evasion, under the Trump administration. Thus, chief compliance officers and in-house counsel face a new kind of pressure to ensure they are mitigating risk in this area.
Site powered by Webvision Cloud