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The SEC's complaint against Smith & Nephew PLC alleged that its subsidiaries used a distributor to create a slush fund to make illicit payments to public doctors employed by government hospitals or agencies in Greece. Smith & Nephew PLC and its U.S. subsidiary Smith & Nephew Inc. paid more than $22 million to settle the SEC's and DOJ's actions.
The SEC can bring civil cases against offenders and can work with the Justice Department to bring criminal actions as well. ... Fields and addresses complaints about FINRA member brokers and firms.
The U.S. Securities and Exchange Commission on Friday sued cryptocurrency firm Consensys, alleging it has failed to register as a broker through its MetaMask swaps service. Consensys also failed ...
In 2010, the SEC filed a criminal complaint against Mandell and Harrington, alleging that they had committed conspiracy, securities fraud, wire fraud, and mail fraud. The criminal complaint also named Sky Capital Holdings Ltd. as a defendant. Ross Mandell proclaimed innocence and played blame on "rogue brokers" such as Adam Harrington, for ...
While the SEC had in place a bounty program for more than 20 years to reward whistleblowers for insider trading tips and complaints, an Office of the Inspector General's 2013 report found that the SEC's old program received very few applications from individuals seeking a bounty, and there were very few payments made under the program, possibly because the program was not widely recognized.
The new lawsuit from the SEC is the latest of several high-profile clashes between US regulators and the crypto world. SEC sues Coinbase as pressure on crypto world rises [Video] Skip to main content
The Securities and Exchange Commission has said it could eliminate the business model that helps brokerages charge no fees on stock trades, but the head of Interactive Brokers he doubts the ...
On the day she was indicted, the U.S. Securities and Exchange Commission filed a civil complaint [3] against Stewart with charges of insider trading (for violating § 17(a) of the Securities Act of 1933, § 10(b) of the Securities Exchange Act of 1934, and SEC Rule 10b-5). [4] The civil charges were stayed pending the criminal proceeding. [5]