Searching Content indexed under White Collar Crime, Anti-Corruption & Fraud by Steven Lofchie ordered by Published Date Descending.
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SEC Chair Jay Clayton Criticizes Foreign Counterparts For Lack Of Anti-Corruption Enforcement
SEC Chair Jay Clayton criticized his foreign counterparts for their lack of anti-corruption enforcement, arguing that only through a collaborative global strategy on fighting offshore bribery will such efforts be successful.
United States
12 Sep 2019
Representative Introduces House Version Of Senator Warren's Anti-Corruption Bill
U.S. House Representative Pramila Jayapal (D-WA) introduced companion legislation to Senator Elizabeth Warren's (D-MA) wide-ranging Senate "Anti-Corruption" bill (see previous coverage).
United States
30 Nov 2018
Former Bank Director Settles CFTC Charges For "Mismarking" Swaps
A former managing director of a bank agreed to pay $350,000 to settle CFTC charges for illegally "mismarking" swap valuations in an effort to hide significant trading losses.
United States
14 Nov 2018
Senator Warren Introduces Anti-Corruption Legislation
Senator Elizabeth A. Warren unveiled a wide-ranging bill that seeks to "eliminate the influence of money in our federal government."
United States
29 Aug 2018
FinCEN Director Examines Virtual Currency Regulatory Obligations
Financial Crimes Enforcement Network ("FinCEN") Director Kenneth A. Blanco outlined agency efforts to protect financial institutions from fraud relating to new uses of financial technology ...
United States
20 Aug 2018
President Trump Issues Executive Order To Establish Task Force On Market Integrity And Consumer Fraud
President Donald J. Trump issued an Executive Order instructing the Attorney General ("AG") to establish a Task Force on Market Integrity and Consumer Fraud (the "Task Force").
United States
17 Jul 2018
SEC Files Complaint Against Former Registered Representative And Issues Investor Alert
The SEC charged a former registered representative of a broker-dealer with fraud for engaging in an $8 million investment scam.
United States
1 Jun 2018
Federal Court Sentences False EDGAR Filer To Prison For Securities Manipulation
An individual from Virginia was sentenced to two years in prison for filing false information through the SEC public database ("EDGAR") in order to manipulate the price of certain issuer securities.
United States
26 Mar 2018
IOSCO Issues Recommendations To Protect Senior Investors
The International Organization of Securities Commissions ("IOSCO") published a report on senior financial fraud.
United States
14 Mar 2018
Federal Judge Recognizes CFTC Jurisdiction Over Virtual Currency Fraud
The U.S. District Court for the Eastern District of New York held that virtual currency is a "commodity" within the meaning of the CEA.
United States
9 Mar 2018
Investment Adviser To Pay More Than $630,000 For Illegal Short Sales
An investment advisory firm agreed to settle SEC charges of illegal short selling in advance of stock offerings.
United States
8 Nov 2017
SEC Charges Investment Advisor With Fraud
The SEC charged an investment advisor with fraud for allegedly misleading investors about fund performance.
United States
13 Oct 2017
SEC Settles Charges Against Husband And Relatives For Insider Trading
The SEC settled charges brought against an Arizona resident, Damon Hovannisian, and his relatives, for insider trading.
United States
21 Aug 2017
SEC Charges Brokerage Firm With AML Violations
The Bank Secrecy Act requires firms to submit SARs to FinCEN when suspicious transactional activity is identified.
United States
15 Jun 2017
FINRA Bars Securities Trader For Violating Firm-Prohibited Bond Transactions
FINRA permanently barred a former FINRA-registered Morgan Stanley representative for circumventing company trading policy and for unethical conduct.
United States
14 Jun 2017
N.Y. Audit Firm Settles SEC Charges Of Issuing Fraudulent Reports
A New York audit firm agreed to settle SEC charges that it had issued fraudulent audit reports in connection with municipal bond offerings by the town of Ramapo, N.Y. and its local development corporation.
United States
10 Nov 2016
SEC Files 868 Enforcement Actions In Fiscal Year 2016
The SEC reported that it filed 868 enforcement actions in fiscal year 2016, with a material increase in charges of financial misconduct related to investment companies, investment advisers, and the FCPA.
United States
19 Oct 2016
Senator Warren Urges Inspector General To Review DOJ's "Failed Response To Financial Crisis"
Senator Elizabeth Warren (D-MA) urged the DOJ to conduct an investigation of the DOJ's response to "referrals made by the Financial Crisis Inquiry Commission for potential securities laws violations..."
United States
20 Sep 2016
SEC Dismisses Charges That Broker-Dealer Customer Committed Call Options Fraud
The SEC found that "the Division of Enforcement has not met its burden to show" that a "retail" investor violated anti-fraud regulations by allegedly failing to make delivery when call options he wrote were exercised.
United States
25 Aug 2016
Georgia Trader Pleads Guilty To Hacked News Release Scheme
The criminal case involved the buying and selling of stock based on information obtained off of hacked press releases stolen from three newswire services.
United States
16 Aug 2016
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