The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate… from Press Releases https://ift.tt/31yBw5K via IFTTT
Category Archives: SEC News
SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential
The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest and making misleading disclosures to the boards for 94 funds they advised. According to the SEC’s order,… from Press Releases https://ift.tt/303t69M via IFTTT
SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations
The Securities and Exchange Commission today announced that Marvell Technology Group, Ltd. will pay $5.5 million to settle charges that it misled investors when it engaged in an undisclosed revenue management scheme in order to meet publicly-issued… from Press Releases https://ift.tt/2IagHWB via IFTTT
SEC.gov: Dean Patrick McDermott, McDermott Investment Advisors, LLC and McDermott Investment Services, LLC
SEC Charges Investment Adviser for Defrauding Advisory Clients by Charging Improper Transaction Costs from SEC.gov Updates: Litigation Releases https://ift.tt/2V280mt via IFTTT
SEC.gov: Northridge Holdings, Ltd. et al.
SEC Obtains Emergency Relief, Charges Chicago-Based Property Developer with Multi-Million Dollar Fraudulent, Unregistered Securities Offering from SEC.gov Updates: Litigation Releases https://ift.tt/2AiftEk via IFTTT
SEC.gov: Kevin B. Merrill, et al.
Three Defendants Charged with $345 Million Fraud Agree to Permanent Injunctions from SEC.gov Updates: Litigation Releases https://ift.tt/2O14x5U via IFTTT
SEC.gov: Bio Defense Corporation, et al.
SEC Obtains Final Judgments Against Mass.-Based Company and Senior Officers from SEC.gov Updates: Litigation Releases https://ift.tt/32Dimvt via IFTTT
SEC.gov: Adam Mattessich and Joseph (a/k/a Jay) Ludovico
Court Denies Brokers’ Attempt to Dismiss Commission-Splitting Claims from SEC.gov Updates: Litigation Releases https://ift.tt/2UW63Ia via IFTTT
SEC.gov: Timothy W. Crawford, et al.
SEC Settles Charges Related to Texas Oil-And-Gas Company’s Penny Stock Fraud from SEC.gov Updates: Litigation Releases https://ift.tt/34InCQo via IFTTT
James M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service
The Securities and Exchange Commission today announced that James M. Daly, Division of Corporation Finance Associate Director, will retire at the end of the month after more than 38 years of service at the SEC. As an Associate Director overseeing the… from Press Releases https://ift.tt/2Ndi3Uj via IFTTT
SEC Investigations 