By Joe Mont2016-09-15T16:45:00
In letters this week to the Department of Justice’s inspector general and FBI Director James Comey, Sen. Elizabeth Warren (D-Mass.) is demanding answers as to why the government failed to pursue criminal prosecutions for activities associated with the Great Recession of 2008. Joe Mont parses the contents of those scathing ...
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
2025-11-06T19:06:00Z By Jaclyn Jaeger
Compliance Week recently interviewed Charles Duross, former Chief of the DOJ’s Fraud Section’s FCPA Unit, to talk about the Department of Justice’s recently revised monitorship policy.
2025-11-06T19:01:00Z By Adrianne Appel
Four U.S. citizens were arrested in California Wednesday in connection with a massive, $346 million international credit card fraud scheme based in Germany, in which compliance officers were allegedly complicit, according to the DOJ.
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