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Tag Archives: SEC

The SEC brings a second case of insider trading on Equifax Data fractions

The Securities and Exchange Commission and a parallel criminal action have been filed against Sudhakar Reddy Bonthu, a former Equifax EFX, + 0.30% Software Development Manager for allegedly trading inside information about the company's data breach. This is the second case of insider trading on the Equifax breach that the SEC has brought. According to the complaint, Bonthu violates company …

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Wells Fargo Sentenced by SEC on "Flipping" of Structured Products

Wells Fargo & Co. will pay $ 5.1 million to defuse a US regulator's claims that employees misuse customers to sell certain investments before maturity. Brokers with Wells Fargo Advisors From January 2009 to June 2013, retail customers encouraged the sale of market-related assets that should be held to maturity to replace them with new products, said the Securities and …

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Toshiba says SEC closes accounting probe, no penalty

TOKYO (Reuters) – Japan's Toshiba Corp. ( 6502.T ) said on Monday that the US Securities and Exchange Commission had conducted an investigation into its past accounting practices without convicting the company. FILE PHOTO: A Toshiba Corp logo is seen on February 14, 2017 in front of an electronics retail store in Tokyo, Japan. REUTERS / Toru Hanai / File …

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SEC Token Offer Web site warns investors how frauds look like

When investors click "Buy Now", they are redirected to an SEC website and are told to be ambushed. "We welcome new technologies, but we also want investors to see what a scam looks like, building this educational institution with many of the classic warning signs of fraud," said SEC Chairman Jay Clayton in a public statement. The SEC has initiated …

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The visionary former SEC Commissioner Mike Slive dies at the age of 77

Former Southeast European Conference Commissioner Mike Slive, who led the league to a dominating run of success previously unseen in college athletics, died Wednesday at the age of 77. Prior to his retirement from SEC in 2015, Slive announced that he began treatment following the recurrence of prostate cancer. He was originally diagnosed in the 1990s. "Mike was an extraordinary …

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