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3,942 results on '"United States. Securities and Exchange Commission -- Investigations"'

1. OpenAI whistleblowers seek SEC probe into ‘restrictive’ NDAs with staffers

Subjects
United States. Securities and Exchange Commission -- Investigations, Whistle blowing -- Investigations -- Laws, regulations and rules, Nondisclosure agreements -- Investigations -- Laws, regulations and rules, Company legal issue, Government regulation, Computers and office automation industries
Abstract

Some employees of ChatGPT-maker OpenAI have reportedly written to the US Securities and Exchange Commission (SEC) seeking a probe into some employee agreements, which they term restrictive non-disclosure agreements (NDAs). [...]

Published
2024

2. SEC Probes Boeing Over Safety Declarations Following 737 Max Incident, Sources Say

Subjects
United States. Securities and Exchange Commission -- Investigations, United States. Federal Aviation Administration -- Investigations, Alaska Airlines Inc. -- Investigations, Boeing Co. -- Investigations, Aircraft industry -- Investigations, Flying-machines -- Investigations, Airlines -- Investigations, Company legal issue, Transportation industry, Travel industry
Abstract

The U.S. Securities and Exchange Commission (SEC) has indeed initiated an investigation into Boeing's safety protocol declarations after a recent incident involving a 737 Max aircraft. In January, a mid-air [...]

Published
2024

3. The U.S. Securities and Exchange Commission SEC Awards Casepoint 5-Year Contract Extension for AI-Powered SaaS Data Discovery Platform

Subjects
United States. Securities and Exchange Commission -- Investigations, Company legal issue, Contract agreement, Computers
Abstract

2024 OCT 8 (VerticalNews) -- By a News Reporter-Staff News Editor at Information Technology Newsweekly -- The U.S. Securities and Exchange Commission (SEC) has awarded Casepoint a five-year contract for [...]

Published
2024

4. United States : SEC Awards Whistleblower More Than $37 Million

Subjects
United States. Securities and Exchange Commission -- Investigations, Whistle blowing -- Investigations, Business, international, Company legal issue, Investigations
Abstract

The Securities and Exchange Commission announced an award of more than $37 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. The whistleblower persisted [...]

Published
2024

5. United States : SEC Charges R.R. Donnelley & Sons Co. with Cybersecurity-Related Controls Violations

Subjects
United States. Securities and Exchange Commission -- Investigations, R.R. Donnelley & Sons Co. -- Investigations, Data security -- Investigations, Commercial printing industry -- Investigations, Business communication -- Investigations, Printing industry -- Investigations, Internet -- Safety and security measures, Cyberterrorism -- Investigations, Securities industry -- Investigations, Company legal issue, Securities industry, Internet security, Data security issue, Printing industry, Business, international
Abstract

The Securities and Exchange Commission announced that R.R. Donnelley & Sons Company (RRD), a global provider of business communication and marketing services, agreed to pay over $2.1 million to settle [...]

Published
2024

6. Robinhood's crypto business investigated by US regulators

Subjects
United States. Securities and Exchange Commission -- Investigations, Company legal issue, General interest
Abstract

Share trading app Robinhood has been placed under investigation by regulators in the United States over its cryptocurrency business. The app, which is plotting a UK launch, said in a [...]

Published
2024

7. OpenAI, facing SEC probe, to name new board members within a month

Author

De Vynck, Gerrit and Tiku, Nitasha

Subjects
United States. Securities and Exchange Commission -- Investigations, OpenAI L.L.C. -- Human resource management -- Investigations, Securities fraud -- Investigations, Computer services industry -- Human resource management -- Investigations, Company legal issue, Computer services industry, Company personnel management, General interest, News, opinion and commentary
Abstract

Byline: Gerrit De Vynck, Nitasha Tiku SAN FRANCISCO - ChatGPT maker OpenAI is planning to appoint several new board members within the next month, as the companyâs regulatory troubles mount. [...]

Published
2024

8. B. Riley Sees Stock Fall Amid SEC Investigation: Firm is pausing dividends to address debt.

Author

Zak, Kennedy

Subjects
Financial services industry -- Securities -- Investigations, Stocks -- Investigations, United States. Securities and Exchange Commission -- Investigations, Company legal issue, Company securities, Financial services industry
Abstract

SAWTELLE B. Riley Financial Inc., a diversified financial services provider based in Sawtelle, saw its shares lose more than half their value last week as the company released its preliminary [...]

Published
2024

9. US regulators investigate whether OpenAI investors were misled; Internal communications from CEO Sam Altman reportedly under scrutiny in SEC inquiryBusiness live -- latest updates

Subjects
United States. Securities and Exchange Commission -- Investigations, Microsoft Corp. -- Investigations, Public relations agencies -- Officials and employees, Organizational communication -- Investigations, Financial misrepresentations -- Investigations, Company legal issue, News, opinion and commentary
Abstract

Byline: Jack Simpson US regulators are investigating internal communications from the OpenAI chief executive, Sam Altman, as part of an inquiry into whether investors into the technology company were misled, [...]

Published
2024

10. The wild probe into investors of DWAC, Trump Mediaâs proposed merger ally

Author

Harwell, Drew

Subjects
United States. Securities and Exchange Commission -- Investigations, Securities fraud -- Investigations, Ex-presidents -- Investigations, Money laundering -- Investigations, Company legal issue, General interest, News, opinion and commentary
Abstract

Byline: Drew Harwell In October 2021, former president Donald Trump announced that his media company, the owner of the platform Truth Social, had sealed an incredible deal: a merger with [...]

Published
2024

11. Morgan Stanley to Pay $249 Million in Block Trading Investigation

Author

Goldstein, Matthew

Subjects
United States. Securities and Exchange Commission -- Investigations, Morgan Stanley -- Investigations, Securities industry -- Investigations, Company legal issue, Securities industry, News, opinion and commentary
Abstract

Federal prosecutors found at least one employee at the Wall Street firm had committed deceptive practices in handling trades of large blocks of stock from 2018 to 2021. Morgan Stanley [...]

Published
2024

12. United States : SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud

Subjects
United States. Securities and Exchange Commission -- Investigations, High technology industry -- Investigations -- Reports, Accounting -- Investigations -- Reports, Corporations -- Ethical aspects, Securities industry -- Reports -- Accounting and auditing -- Investigations, Company legal issue, Securities industry, Business, international
Abstract

The Securities and Exchange Commission announced settled accounting fraud charges against Cloopen Group Holding Limited, a China-based provider of cloud communications products and services whose American depositary shares formerly traded [...]

Published
2024

13. Tesla investigated over funds used to build 'secret Austin house for Elon Musk'; Reports suggest that 'Project 42' was a glass structure that contained a residential element for the carmaker's chief executive

Subjects
United States. Securities and Exchange Commission -- Investigations, Transportation equipment industry -- Investigations, Chief executive officers -- Investigations, Company legal issue, News, opinion and commentary
Abstract

Byline: Dan Milmo US prosecutors are investigating Tesla over alleged use of company funds for a secret project described internally as a house for Elon Musk, the electric carmaker's chief [...]

Published
2023

14. Truth Social's merger partner offers $18 million in settlement to SEC

Author

Harwell, Drew

Subjects
United States. Securities and Exchange Commission -- Investigations, Trump Media and Technology Group -- Mergers, acquisitions and divestments, Mass media industry -- Mergers, acquisitions and divestments, Compromise and settlement, Company legal issue, Company acquisition/merger, General interest, News, opinion and commentary
Abstract

Byline: Drew Harwell The top financial partner of former president Donald Trump's media company has offered to pay $18 million to the Securities and Exchange Commission to settle an investigation [...]

Published
2023

15. Par Funding probe: Company founder threatened to kill Philly developer Ori Feibush, prosecutors say

Subjects
United States. Securities and Exchange Commission -- Investigations, Real estate developers -- Investigations, Public prosecutors -- Investigations, Brokers -- Investigations, Real estate industry -- Investigations, Company legal issue, Business, General interest, Business, regional
Abstract

Byline: Jeremy Roebuck Jun. 2With his properties and bank accounts seized and investigations by multiple federal agencies bearing down on him and his company last year, Joseph LaForte, founder of [...]

Published
2023

16. Par Funding probe: Company founder threatened to kill Philly developer Ori Feibush, prosecutors say

Subjects
United States. Securities and Exchange Commission -- Investigations, Real estate developers -- Investigations, Public prosecutors -- Investigations, Brokers -- Investigations, Real estate industry -- Investigations, Company legal issue, Business, General interest, Business, regional
Abstract

Byline: Jeremy Roebuck and Joseph N. DiStefano With his properties and bank accounts seized and investigations by multiple federal agencies bearing down on him and his company last year, Joseph [...]

Published
2023

17. United States : SEC Awards Whistleblower More Than $18 Million

Subjects
United States. Securities and Exchange Commission -- Investigations, Securities law -- Investigations, Whistle blowing -- Investigations, Company legal issue, Business, international
Abstract

The Securities and Exchange Commission announced an award of more than $18 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. After initially reporting [...]

Published
2023

18. Storm Clouds Gather For Binance, and Crypto

Author

Yaffe-Bellany, David, Flitter, Emily, and Goldstein, Matthew

Subjects
United States. Securities and Exchange Commission -- Investigations, United States. Department of Justice -- Investigations, Latham & Watkins L.L.P. -- Contracts, Binance Holdings Ltd. -- Cases -- Officials and employees -- Contracts, Securities fraud -- Investigations, Law firms -- Contracts, Financial services industry -- Investigations -- Officials and employees, Money laundering -- Investigations, Company legal issue, Contract agreement, Financial services industry, General interest, News, opinion and commentary
Abstract

For years, the giant cryptocurrency exchange Binance has had a reputation for dodging regulators and skirting financial rules, all without significant consequences. Now the world's largest crypto exchange is facing [...]

Published
2023

19. Federal investigators examined Trump Media for possible money laundering, sources say; New York prosecutors expanded criminal inquiry of company last year and examined acceptance of $8m with suspected Russian ties

Subjects
United States. Securities and Exchange Commission -- Investigations, Social media -- Investigations, Money laundering -- Investigations, Company legal issue, News, opinion and commentary, Truth Social (Online social network)
Abstract

Byline: Hugo Lowell in New York Federal prosecutors in New York involved in the criminal investigation into Donald Trump's social media company last year started examining whether it violated money [...]

Published
2023

20. U.S. Is Said to Open Investigation Into Silicon Valley Bank Collapse

Author

Goldstein, Matthew and Benner, Katie

Subjects
United States. Securities and Exchange Commission -- Investigations, United States. Department of Justice -- Investigations, Silicon Valley Bank -- Investigations, Banks (Finance) -- Investigations, Bank failures -- Investigations, Banking industry -- Investigations, Company legal issue, Banking industry, News, opinion and commentary
Abstract

Legal experts said a focus of the investigation could be insider sales by several bank executives in the weeks before the bank’s failure. The Justice Department has opened an investigation [...]

Published
2023

21. Silicon Valley Bank: inquiries launched into bank's collapse and UK arm; Probes announced in the UK and US over failure of California lender as financial markets recovered from Monday's turmoil

Subjects
United States. Securities and Exchange Commission -- Investigations, United States. Department of Justice -- Investigations, Silicon Valley Bank -- Investigations, Banks (Finance) -- Investigations, Bank failures -- Investigations, Stock markets -- Investigations, Securities industry -- Investigations, Company legal issue, Securities industry, Stock market, News, opinion and commentary
Abstract

Byline: Joanna Partridge and Graeme Wearden Inquiries into the collapse of Silicon Valley Bank (SVB) and its UK arm have been announced in Britain and America, as financial markets settled [...]

Published
2023

22. United States : SEC Charges Smart Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability

Subjects
United States. Securities and Exchange Commission -- Investigations, Window industry -- Reports -- Investigations, Liability (Law) -- Reports -- Investigations, Company legal issue, Business, international
Abstract

The Securities and Exchange Commission announced settled charges against a California-based manufacturer of smart windows, View Inc., for failing to disclose $28 million in projected warranty-related liabilities to address a [...]

Published
2023

23. Uncovering bribes hidden in books and records: Studying areas flagged in SEC enforcement actions can help companies construct better fraud controls.

Author

Scheck, Howard, Buchanan, Greg, and Creecy, Katy

Subjects
Bribery -- Investigations -- Prevention, Securities fraud -- Investigations -- Prevention, Forensic accounting -- Methods -- Usage, United States. Securities and Exchange Commission -- Investigations, Company legal issue
Abstract

More than 40 years after the Foreign Corrupt Practices Act (FCPA) was enacted, the SEC and the U.S. Department of Justice (DOJ) continue to crack down on schemes in which [...]

Published
2019

24. A TIMELINE AND FRAUD TRIANGLE ANALYSIS OF THE SEC'S MADOFF PONZI SCHEME INVESTIGATION

Author

Williams, David C.

Subjects
United States. Securities and Exchange Commission -- Investigations, Ponzi schemes -- Investigations, Company legal issue, Business, international
Abstract

In 2008, Madoff Investment Securities was closed by the SEC. Owner Bernie Madoff was charged and later convicted for operating the largest Ponzi scheme in U.S. history. Even though the SEC investigated Madoff Investment Securities multiple times over a 16-year period, and even though at least six outsiders tried to warn the SEC of a potential Madoff Ponzi scheme, it took the crippling financial landscape of the 'great recession' to bring down the Madoff empire. The following article revisits the SEC investigation of Madoff Investment Securities, pointing out lapses in the SEC investigation based on SEC Inspector General H. David Kotz's report, Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi scheme (SEC Case No. -OIG-509). Based on a review of the SEC Inspector General's report, further analysis suggests the potential for internal collusion at the SEC. Due to a series of lapses in performance of investigative duties; the SEC internal investigation should be reopened. Keywords: Forensic accounting, Ponzi scheme, INTRODUCTION In 1960, Bernard Madoff founded Madoff Investment Securities LLC. The firm operated for the next 48 years, investing funds for individuals and groups of investors. Through a series of [...]

Published
2017

25. Mormon Church, investment arm to pay $5 million to resolve SEC case

Author

Lerman, Rachel and MacMillan, Douglas

Subjects
United States. Securities and Exchange Commission -- Investigations, Financial disclosure -- Investigations, Fraud investigation, Nonprofit organizations -- Investigations, Compromise and settlement, Company legal issue, Company investment, General interest, News, opinion and commentary, Church of Jesus Christ of Latter-day Saints -- Investigations -- Investments
Abstract

Byline: Rachel Lerman and Douglas MacMillan Federal regulators on Tuesday announced charges against the Church of Jesus Christ of Latter-day Saints and its nonprofit investment arm, alleging they took measures [...]

Published
2023

26. Mormon Church, investment arm will pay $5 million to settle SEC charges

Author

Lerman, Rachel

Subjects
United States. Securities and Exchange Commission -- Investigations, Nonprofit organizations -- Investments -- Investigations, Investments -- Investigations, Company legal issue, Company investment, General interest, News, opinion and commentary, Church of Jesus Christ of Latter-day Saints -- Investments -- Investigations
Abstract

Byline: Rachel Lerman Federal regulators on Tuesday announced charges against the Mormon Church and its nonprofit investment arm, alleging that the money managers obscured the size of the church's investments. [...]

Published
2023

27. First Par Funding partner pleads guilty in long-running Philly financial fraud probe

Subjects
United States. Securities and Exchange Commission -- Investigations, Fraud -- Investigations, Fraud investigation -- Investigations, Conspiracy -- Investigations, Company legal issue, Business, General interest, Business, regional
Abstract

Byline: Joseph N. DiStefano Feb. 15A former official at a beleaguered Philadelphia-based business lender admitted in court Wednesday that he and the company's other principals defrauded hundreds of investors by [...]

Published
2023

28. Harbor City called George Santos a 'perfect fit.' The SEC called the company a fraud

Author

Stanley-Becker, Isaac, O'Connell, Jonathan, and Brown, Emma

Subjects
United States. Securities and Exchange Commission -- Investigations, Legislators -- Investigations -- Political activity, Fraud investigation, Investment companies -- Personalities -- Investigations, Company legal issue, General interest, News, opinion and commentary
Abstract

Byline: Isaac Stanley-Becker, Jonathan O'Connell and Emma Brown In July 2020, a small Florida-based investment firm announced that a man named George Devolder had been hired as its New York [...]

Published
2023

29. Where's our jet? Dispute over seized plane reveals new details in criminal probe of Par Funding founders

Subjects
United States. Securities and Exchange Commission -- Investigations, Cessna Aircraft Co. -- Investigations, Jet planes -- Investigations, Fraud -- Investigations, Company legal issue, Business, General interest, Business, regional
Abstract

Byline: Joseph N. DiStefano and Jeremy Roebuck Joseph LaForte, the founder of a Philadelphia cash advance company that raised a half-billion dollars from hundreds of investors before the government called [...]

Published
2023

30. Where's our jet? Dispute over seized plane reveals new details in criminal probe of Par Funding founders

Subjects
United States. Securities and Exchange Commission -- Investigations, Cessna Aircraft Co. -- Investigations, Jet planes -- Investigations, Aircraft industry -- Investigations, Fraud -- Investigations, Company legal issue, Business, General interest, Business, regional
Abstract

Byline: Joseph N. DiStefano and Jeremy Roebuck Jan. 5Joseph LaForte, the founder of a Philadelphia cash advance company that raised a half-billion dollars from hundreds of investors before the government [...]

Published
2023

31. The Insider

Author

Malone, Noreen

Subjects
United States. Securities and Exchange Commission -- Investigations, Meta Platforms Inc. -- Investigations, Political activists -- Beliefs, opinions and attitudes, Privacy, Right of -- Investigations, Disinformation -- Investigations, Information services industry -- Investigations, Reformers -- Beliefs, opinions and attitudes, Social reformers -- Beliefs, opinions and attitudes, Information services -- Investigations, Whistle blowing -- Investigations, Company legal issue, Information services industry, Fashion and beauty
Abstract

Byline: Noreen Malone reports. Photographed by Charlotte Hadden. The Insider Frances Haugen's revelations about growth-at-any-cost policies at Facebook have galvanized the public. What happens now? It's early on a Tuesday [...]

Published
2022

32. Sam Bankman-Fried: FTX founder charged with defrauding investors; SEC says investigation into other alleged misconduct by former CEO of crypto exchange is ongoing

Subjects
United States. Securities and Exchange Commission -- Investigations, Securities trading -- Laws, regulations and rules -- Investigations, Electronic trading (Securities) -- Services, Fraud -- Laws, regulations and rules -- Investigations, Securities industry -- Laws, regulations and rules -- Investigations, Company legal issue, Government regulation, Securities industry, Online securities trading service, News, opinion and commentary
Abstract

Byline: Guardian staff Sam Bankman-Fried, the founder and former chief executive of the crypto exchange FTX, has been charged by the US Securities and Exchange Commission with defrauding investors in [...]

Published
2022

33. Tesla probed over solar-panel safety:

Subjects
United States. Securities and Exchange Commission -- Investigations, Company legal issue, Business, international
Abstract

US authorities are investigating Tesla over an alleged failure to disclose fire risks with its solar panels, according to reports. A complaint from a whistleblower prompted the US Securities and [...]

Published
2021

34. SPAC-handed; The media

Subjects
United States. Securities and Exchange Commission -- Investigations, Trump Media and Technology Group -- Mergers, acquisitions and divestments -- Investigations, Mass media industry -- Mergers, acquisitions and divestments -- Investigations, Company legal issue, Company acquisition/merger, Business, Economics, Business, international
Abstract

Truth HQ Donald Trump's media spac venture meets regulatory resistance I T READS LIKE the punchline to a joke. What do you get if you cross Wall Street's new financial [...]

Published
2021

35. United States : SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures

Subjects
United States. Securities and Exchange Commission -- Investigations, HSBC Securities (USA) Inc. -- Laws, regulations and rules, Securities industry -- Laws, regulations and rules -- Investigations, Company legal issue, Government regulation, Securities industry, Business, international
Abstract

The Securities and Exchange Commission charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their employees to maintain and preserve [...]

Published
2023

36. United States : SEC Awards More Than $12 Million to Two Whistleblowers

Subjects
United States. Securities and Exchange Commission -- Investigations, Whistle blowing -- Investigations, Company legal issue, Business, international
Abstract

The Securities and Exchange Commission announced awards of more than $12 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. The first whistleblower prompted [...]

Published
2023

37. Kim Kardashian to pay $1.26 million in SEC crypto case

Author

Newmyer, Tory

Subjects
United States. Securities and Exchange Commission -- Investigations, Celebrities -- Investigations, Crypto-currencies -- Investigations, Fines (Penalties), Compromise and settlement, Company legal issue, General interest, News, opinion and commentary
Abstract

Byline: Tory Newmyer The Securities and Exchange Commission is charging reality star and entrepreneur Kim Kardashian with allegedly promoting a cryptocurrency on her Instagram account without disclosing how much she [...]

Published
2022

38. Boeing to pay $200 million after SEC finds it misled on 737 Max safety

Author

Laris, Michael

Subjects
United States. Securities and Exchange Commission -- Investigations, Boeing Co. -- Investigations, Jet planes -- Investigations -- Safety and security measures, Aircraft industry -- Investigations, Company legal issue, General interest, News, opinion and commentary, Boeing 737 MAX (Aircraft) -- Investigations -- Safety and security measures
Abstract

Byline: Michael Laris A month after an automation flaw forced a Boeing jet into the Java Sea, Boeing's then-chief executive, Dennis Muilenburg, directed the drafting of a news release that [...]

Published
2022

39. United States : SEC Awards Approximately $18 Million to Three Whistleblowers

Subjects
United States. Securities and Exchange Commission -- Investigations, Whistle blowing -- Investigations, Company legal issue, Business, international
Abstract

The Securities and Exchange Commission today announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action. The first whistleblower provided [...]

Published
2023

40. Brazil,United States : Honeywell UOP to Pay Over $160 Million to Resolve Foreign Bribery Investigations in U.S. and Brazil

Subjects
United States. Securities and Exchange Commission -- Investigations, Honeywell International Inc. -- Rankings, Petroleo Brasileiro S.A. -- Rankings, UOP L.L.C. -- Rankings, Pesticides industry -- Rankings, Bribery -- Investigations, Foreign investments -- Rankings, Herbicides -- Rankings, Petroleum industry -- Rankings, Chemical industry -- Rankings, Government business enterprises -- Rankings, Military electronics industry -- Rankings, Company legal issue, Business, international
Abstract

UOP LLC, doing business as Honeywell UOP, a U.S.-based subsidiary of Honeywell International Inc., has agreed to pay more than $160 million to resolve parallel bribery investigations by criminal and [...]

Published
2022

41. United States : Honeywell UOP to Pay Over $160 Million to Resolve Foreign Bribery Investigations in U.S. and Brazil

Subjects
United States. Securities and Exchange Commission -- Investigations, Honeywell International Inc. -- Rankings, Petroleo Brasileiro S.A. -- Rankings, UOP L.L.C. -- Rankings, Pesticides industry -- Rankings, Bribery -- Investigations, Foreign investments -- Rankings, Herbicides -- Rankings, Petroleum industry -- Rankings, Chemical industry -- Rankings, Government business enterprises -- Rankings, Military electronics industry -- Rankings, Company legal issue, Business, international
Abstract

UOP LLC, doing business as Honeywell UOP, a U.S.-based subsidiary of Honeywell International Inc., has agreed to pay more than $160 million to resolve parallel bribery investigations by criminal and [...]

Published
2022

42. United States : SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX

Subjects
United States. Securities and Exchange Commission -- Investigations, Electronic trading (Securities) -- Services, Fraud -- Laws, regulations and rules -- Investigations, Securities industry -- Laws, regulations and rules -- Investigations, Company legal issue, Government regulation, Securities industry, Online securities trading service, Business, international
Abstract

The Securities and Exchange Commission today charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. (FTX), the crypto trading platform of which he was [...]

Published
2022

43. Switzerland : The Office of the Attorney General of Switzerland resolves criminal investigation against A

Subjects
United States. Securities and Exchange Commission -- Investigations, United States. Department of Justice -- Investigations, Attorneys general -- Investigations, Criminal investigation -- Investigations, Company legal issue, Business, international
Abstract

The Office of the Attorney General of Switzerland (OAG) resolves the criminal investigation against ABB. Namely, it issues a penalty order for an offense against the Art. 102 Par. 2 [...]

Published
2022

44. Philippines : SEC-9 cracks down silverlion investment scam

Subjects
United States. Securities and Exchange Commission -- Investigations, Warrants (Law) -- Investigations, Livestock industry -- Investigations, Financial misrepresentations -- Investigations, Company legal issue, Business, international
Abstract

The Securities and Exchange Commission (SEC) continues its crackdown against unauthorized investment schemes as it busted the operations of Silverlion Livestock Trading Corp. in Zamboanga City. In a joint operation [...]

Published
2022

45. Philippines : SEC cracks down on Silverlion investment scam

Subjects
United States. Securities and Exchange Commission -- Investigations, Warrants (Law) -- Investigations, Livestock industry -- Investigations, Financial misrepresentations -- Investigations, Company legal issue, Business, international
Abstract

The Securities and Exchange Commission (SEC) continues its crackdown against unauthorized investment schemes as it busted the operations of Silverlion Livestock Trading Corp. in Zamboanga City. In a joint operation [...]

Published
2022

46. United States : SEC Awards $20 Million to Whistleblower

Subjects
United States. Securities and Exchange Commission -- Investigations, Whistle blowing -- Investigations, Company legal issue, Business, international
Abstract

The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who provided new and critical information that led to the success of an enforcement action. [...]

Published
2022

47. Former security chief claims Twitter buried 'egregious deficiencies'

Author

Menn, Joseph, Dwoskin, Elizabeth, and Zakrzewski, Cat

Subjects
United States. Securities and Exchange Commission -- Investigations, United States. Department of Justice -- Investigations, Twitter Inc. -- Beliefs, opinions and attitudes -- Safety and security measures, Spam (Junk email) -- Investigations, Information services industry -- Investigations -- Safety and security measures, Informers -- Beliefs, opinions and attitudes, Computer crimes -- Investigations, Information services -- Investigations -- Safety and security measures, Whistle blowing -- Investigations, Company legal issue, Unsolicited bulk e-mail, Computer crime, Information services industry, General interest, News, opinion and commentary
Abstract

Byline: Joseph Menn, Elizabeth Dwoskin and Cat Zakrzewski WASHINGTON - Twitter executives deceived federal regulators and the company's own board of directors about 'extreme, egregious deficiencies' in its defenses against [...]

Published
2022

48. Justice Department investigation of PSERS 'has closed' with no charges. SEC probe goes on

Subjects
United States. Securities and Exchange Commission -- Investigations, United States. Department of Justice -- Investigations, Chairpersons -- Investigations, Company legal issue, Business, General interest, Business, regional
Abstract

Byline: Joseph N. DiStefano, Craig R. McCoy and Erin Arvedlund Aug. 3Federal prosecutors have told Pennsylvania's school pension system, PSERS, that the U.S. Department of Justice has closed its investigation [...]

Published
2022

49. Big Fine for Ernst & Young Over Ethics Exam Cheating

Author

Goldstein, Matthew

Subjects
United States. Securities and Exchange Commission -- Investigations, Ernst & Young L.L.P. -- Investigations -- Discipline, General interest, News, opinion and commentary
Abstract

The S.E.C. said the cheating involved hundreds of the firm's workers from 2017 to 2021, resulting in the largest penalty ever imposed by the agency against an auditing firm. Ernst [...]

Published
2022

50. Ernst & Young pays $100m to settle US charges of cheating by audit staff; SEC alleged EY employees cheated on exams required to obtain and maintain CPA licenses and misled investigators

Subjects
United States. Securities and Exchange Commission -- Investigations, Ernst & Young L.L.P. -- Investigations, Breach of trust -- Investigations, Accountants -- Investigations, Ethics -- Investigations, Accounting firms -- Investigations, Company legal issue, News, opinion and commentary
Abstract

Byline: Dominic Rushe in New York Ernst & Young, one of the world's largest accounting firms, agreed to pay a record $100m to US regulators on Tuesday amid charges that [...]

Published
2022

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