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Results: 1-10 of 419

Accounting Firm Sanctioned for Inadequate Surprise IA Custody Audit
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

Santos, Postal & Co. P.C., an accounting firm, and Joseph Scolaro, one of its partners, agreed to settle charges brought by the Securities and


The DOJ FCPA Enforcement Plan and Guidance Encourages Voluntary Self-Disclosure and Cooperation in Exchange for Additional Mitigation Credit
  • Katten Muchin Rosenman LLP
  • USA
  • April 19 2016

On April 5, 2016, the Fraud Section of the U.S. Department of Justice's Criminal Division issued a much-awaited Enforcement Plan and Guidance


Broker-Dealer Agrees to Pay FINRA US $750,000 for Allegedly Deficient Customer Reserve Account Calculation Practices
  • Katten Muchin Rosenman LLP
  • USA
  • April 17 2016

Stifel, Nicolaus & Company Incorporated agreed to resolve charges brought by the Financial Industry Regulatory Authority that, from at least 1999


FinCEN Proposes to Include Funding Portals in Definition of Broker or Dealer to Apply Bank Secrecy Act Provisions
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2016

The Financial Crimes Enforcement Network, a bureau of the US Department of Treasury, proposed to amend its regulations under the Bank Secrecy Act to


SEC Chairperson Muses About Mutual Fund Directors’ Responsibilities and Potential Enforcement Interest
  • Katten Muchin Rosenman LLP
  • USA
  • April 3 2016

Mary Jo White, Chairperson of the Securities and Exchange Commission, said in a speech before the Mutual Fund Directors Forum 2016 Policy Conference


US Supreme Court Declines to Consider SEC Administrative Forum Selection
  • Katten Muchin Rosenman LLP
  • USA
  • April 3 2016

The US Supreme Court refused to hear a lawsuit brought by Laurie Bebo, challenging the legality of a decision of the Securities and Exchange


SEC Inks Settlement Agreements With Seven Defendants Accused of Trading on Hacked News Releases
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2016

The Securities and Exchange Commission agreed to a settlement with seven of the 32 defendants charged in August 2015 with allegedly trading on


Fund Manager Resolves CFTC Charges Related to Material Misstatements and Omissions by Agreement to Pay Over US $5.65 Million in Disgorgement and Fine
  • Katten Muchin Rosenman LLP
  • USA
  • March 20 2016

Equinox Fund Management, LLC settled charges brought by the Commodity Futures Trading Commission that, from 2004 to March 2011, it made material


Investment Adviser Agrees to Pay More Than US $9.5 Million to SEC for Steering Clients to Funds’ Share Classes With Higher Fees When Share Classes With Cheaper Charges Available
  • Katten Muchin Rosenman LLP
  • USA
  • March 20 2016

Three dually registered broker-dealers and investment advisers - FSC Securities Corporation, Royal Alliance Associates, Inc., and SagePoint Financial


Federal Court Allows Former Hedge Fund Operator’s Lawsuit Alleging Civil Rights Violations to Proceed Against US Attorney and Other Government Officials
  • Katten Muchin Rosenman LLP
  • USA
  • March 13 2016

A federal court in New York City refused to dismiss a lawsuit against Preet Bharara, the US Attorney for the Southern District of NY, and various FBI