Corporate Governance

SEC

SEC Settles Charges With Firm Over Unregistered Swaps in Pre-IPO Companies

The U.S. Securities and Exchange Commission (SEC) recently announced that a San Francisco-based firm has agreed to settle charges that it violated federal securities laws by failing to register security-based ...
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gavel and cash money

SEC Announces Insider Trading Charges Against IT Specialist

The U.S. Securities and Exchange Commission (SEC) recently announced insider trading charges against a San Francisco-based IT specialist who allegedly hacked senior executives at online travel company Expedia and illegally ...
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SEC

SEC Awards $3.5 Million to Whistleblower

The U.S. Securities and Exchange Commission (SEC) recently announced that a whistleblower has been awarded roughly $3.5 million for coming forward with meaningful information that led to an SEC enforcement ...
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SEC

SEC Settles Charges With PIMCO Over Misleading Investors

The U.S. Securities and Exchange Commission (SEC) recently announced that investment management firm Pacific Investment Management Company (PIMCO) agreed to retain an independent compliance consultant and pay roughly $20 million ...
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reprimand

SEC Settles Charges With United Airlines

The U.S. Securities and Exchange Commission (SEC) recently announced that United Continental Holdings Inc. (NYSE: UAL) has agreed to pay $2.4 million to settle charges in a case where shareholders ...
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Starbucks Pune

If Howard Schultz Is Leaving Starbucks, Has This Coffee Giant Peaked?

Believe it or not, Howard Schultz has tried to leave Starbucks Corp. (NASDAQ: SBUX) before. This time looks like it will be for real. Starbucks announced on Thursday that Howard ...
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gavel and cash money

SEC Issues Fraud Charges and Freezes Accounts of Miami-Based Firm

The U.S. Securities and Exchange Commission (SEC) recently announced fraud charges and an asset freeze against Miami Beach-based asset management company Onix Capital and owner Alberto Chang-Rajii, a Chilean national ...
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Airbus logo

Good News and Bad for Airbus

Thanksgiving is not a European holiday, but for Airbus Group SE it might feel like it this year. The company's largest twin-engine, dual-aisle passenger jet, the A350-1000, made its first ...
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SEC

SEC Names New Chief Accountant

The U.S. Securities and Exchange Commission announced that its Chief Accountant James Schnurr intends to retire from the agency. In his place, Wesley R. Bricker will take his place. Schnurr ...
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Boeing logo

What the Executive Changes at Boeing Are All About

Monday was a busy day at The Boeing Co. (NYSE: BA). Ray Conner is retiring, effective immediately, as CEO of Boeing's commercial aircraft group, but will retain his role as ...
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Fraud

SEC Issues Fraud Charges Against California Renewable Energy Firm

The U.S. Securities and Exchange Commission (SEC) recently filed fraud charges against four individuals and others who allegedly profited by defrauding investors in a cash-strapped California-based renewable energy company. Patrick ...
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tired frustrated unhappy business person

SEC Charges JPMorgan With FCPA Violation

The U.S. Securities and Exchange Commission (SEC) recently announced that JPMorgan Chase & Co. (NYSE: JPM) has agreed to pay over $130 million to settle charges that it won business ...
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SEC

SEC Announces Plan to Create Consolidated Audit Trail

The U.S. Securities and Exchange Commission (SEC) recently voted to approve a national market system (NMS) plan to create a single, comprehensive database known as the consolidated audit trail (CAT). ...
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SEC

SEC Awards Whistleblower Over $20 Million

The U.S. Securities and Exchange Commission recently announced that it has given an award of more than $20 million to a whistleblower who promptly came forward with valuable information that ...
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car dealership

Automakers Want Trump to Turn Back the Clock

Ever since Donald Trump first threw his hat into the presidential nominee ring in June of 2015, he has said that he would block a move by Ford Motor Co. ...
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