July 3, 2020
Washington D.C., July 2, 2020 — The Securities and Exchange Commission today announced that Boston-based pharmaceutical company Alexion Pharmaceuticals Inc. has agreed to pay more than $21 million to resolve …
Continue reading “SEC Charges Alexion Pharmaceuticals With FCPA Violations”
June 30, 2020
Washington D.C., June 29, 2020 — The Securities and Exchange Commission today issued an order to update the filing threshold for broker-dealers’ Form 17-H filings made pursuant to Exchange Act …
June 29, 2020
Washington D.C., June 26, 2020 — The Securities and Exchange Commission announced today that it obtained court approval of settlements with Telegram Group Inc. and its wholly owned subsidiary TON …
June 26, 2020
Washington D.C., June 25, 2020 — The Securities and Exchange Commission today charged NAC Foundation, its Chief Executive Officer Marcus Andrade, and political lobbyist Jack Abramoff with conducting a fraudulent, …
Continue reading “SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin”
June 26, 2020
Washington D.C., June 25, 2020 — The Securities and Exchange Commission today announced that Novartis AG, a global pharmaceutical and healthcare company headquartered in Basel, Switzerland, has agreed to pay …
Continue reading “SEC Charges Novartis AG with FCPA Violations”
June 24, 2020
Washington D.C., June 19, 2020 — The Securities and Exchange Commission today announced an award of almost $700,000 to a whistleblower whose significant information helped the agency bring a successful …
Continue reading “SEC Awards Almost $700,000 to Whistleblower”
June 24, 2020
Washington D.C., June 19, 2020 — The Securities and Exchange Commission – SEC today announced that it filed an emergency action and obtained a temporary restraining order and asset freeze …
Continue reading “SEC Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud”
June 22, 2020
Washington D.C., June 19, 2020 — The Securities and Exchange Commission today announced that Robert A. Sollazzo, the longtime leader of the New York Regional Office’s Broker-Dealer Examination Program, is …
June 19, 2020
Washington D.C., June 17, 2020 — The Securities and Exchange Commission today announced that Jennifer S. Leete has been named Associate Director in the SEC’s Division of Enforcement. Ms. Leete …
Continue reading “SEC Names Jennifer S. Leete as Associate Director in Enforcement Division”
June 16, 2020
Washington D.C., June 12, 2020 — The U.S. Securities and Exchange Commission – SEC today announced charges against a Nashville, Tennessee-based securities broker for defrauding two seniors, including a World …
Continue reading “SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million”
