By Bruce Carton2015-02-21T12:15:00
Image: SEC Commissioner Michael Piwowar is calling on the agency to create guidelines for when it will bring enforcement actions as administrative proceedings and when it will pursue cases in federal court. Given the SEC’s 100 percent success rate in administrative proceedings, he said in a speech, clarity on enforcement ...
2015-05-05T14:45:00Z By Joe Mont
Image: Compliance officers responsible for accurate books and records and effective internal control over financial reporting may be entering a brave new world of regulatory enforcement. The SEC is stepping up its use of administrative proceedings to impose strict liability on even relatively minor infractions of securities law. “The SEC ...
2025-09-17T17:20:00Z By Adrianne Appel
A Florida seafood company executive has pleaded guilty to conspiring with competitors to fix the prices he paid to local fishers, an effort that impacted more than $8 million in wholesale fish and cut the pay of hundreds of fishers, the Department of Justice said.
2025-09-16T20:11:00Z By Adrianne Appel
The former CEO of a Georgia clothing business faces 25 years in prison for bribing Honduran officials to win $10 million in uniform contracts in Honduras, after being caught up in a Department of Justice Anticorruption Task Force.
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