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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Bruce Carton2015-04-17T09:00:00
This running SEC Trial Scorecard tracks the SEC's trials and outcomes for FY 2015. To date in FY 2015, which began on October 1, 2014, the SEC has now had five trials in federal court reach a verdict (see the full list below). The most recent verdict was reached on ...
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2024-11-08T19:40:00Z By Aaron Nicodemus
Navy Federal Credit Union will pay a $15 million fine and return $80 million in “surprise” overdraft fees to its members to resolve an enforcement action from the Consumer Financial Protection Bureau.
2024-11-07T19:03:00Z By Adrianne Appel
Artificial intelligence-enabled product review platform Sitejabber agreed to a 10-year compliance monitorship with the Federal Trade Commission following allegations that it inflated product ratings and misled the public.
2024-11-06T21:36:00Z By Jeff Dale
The Financial Industry Regulatory Authority fined broker-dealer Morgan Stanley $1 million over alleged documentation failures related to risk management controls and supervisory procedures involving violations of the Market Access Rule.
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