SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded Products
SEC
Blog
EU hits Amazon with antitrust charges. A huge fine could follow
CNN
The European Union has unveiled formal antitrust charges against Amazon for abusing its dominance in online shopping and opened a second investigation into the company's business practices.
SEC Whistleblowers Say 401ks And Pensions Are Cheated Out Of Billions In Mutual Fund Payments
FORBES
Three SEC whistleblowers say financial intermediaries serving as custodians, recordkeepers and trustees to 401ks and pensions systemically conceal and pocket billions in mutual fund “omnibus” payments which rightfully belong to retirement plans.
U.S. government looking into Pfizer's operations in China
YAHOO
Pfizer Inc. received informal requests relating to its operations in China from the U.S. Department of Justice and the U.S. Securities and Exchange Commission (SEC) in June and August.
SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards
SEC
The Securities and Exchange Commission today announced two separate whistleblower awards for total payments of over $4.3 million.
SEC Awards Over $28 Million to Whistleblower
SEC
The Securities and Exchange Commission today announced an award of over $28 million to a whistleblower who provided significant information that aided the SEC in bringing a successful enforcement action. The whistleblower internally reported information that prompted the company to initiate an internal investigation, and saved the staff time and resources by providing testimony and identifying a key witness.
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
SEC
The award, granted to a single individual, is more than a third higher than the previous $83 million record
$11.8M settlement against Novartis related to allegations that the company engaged in a kickback scheme
SEC announces an award of more than $10 million to a whistleblower
The settlement announced today stems from a whistleblower complaint filed in 2017
Settlement resolves allegations originally brought in a lawsuit filed under the qui tam, or whistleblower provisions of the FCA
Robinhood is under investigation related to its disclosures around its practice of selling clients' orders to high-frequency traders
CFTC Charges 5 Canadians, 1 American, and 4 Companies in $165 Million Global Binary Options Fraud Scheme
SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis
The Securities and Exchange Commission today announced an award of over $1.25 million to a whistleblower
Herbalife Will Pay More Than $123 Million to Settle With Government
BorgWarner failed to report over $700 million in liabilities associated with future asbestos claims
McDonald's is reportedly investigating former CEO Steve Easterbrook
