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The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February ...
The SEC Office of the Whistleblower provides assistance and information from a whistleblower who knows of possible securities law violations: this can be among the most powerful weapons in the law enforcement arsenal of the Securities and Exchange Commission. [26]
Convictions such as making false statements, perjury, obstruction of justice, electoral fraud, violations of campaign finance regulations, tax evasion and money laundering are not included in this list. Censure, impeachment, and removal from office are also not included in this list. The list is organized by office.
The US Securities and Exchange Commission fined six major credit rating organizations a total of $49 million for their “significant failures” to keep electronic communications.
The U.S. SEC disclosed settling charges requiring Oracle Corp (NYSE: ORCL) to pay over $23 million for violating the Foreign Corrupt Practices Act (FCPA) provisions. Oracle's subsidiaries in ...
The U.S. Securities and Exchange Commission charged pharmaceuticals giant Eli Lilly & Co. with violations of the Foreign Corrupt Practices Act Thursday, alleging that the company's subsidiaries ...
The regulation and prosecution of securities fraud violations is undertaken on a broad front, involving numerous government agencies and self-regulatory organizations. One method of regulating and restricting a specific type of fraud perpetrated by pump and dump manipulators , is to target the category of stocks most often associated with this ...
It was relisted in 2020 after settling with the SEC and paying a $17.5 million fine. At the time, the company parted ways with its CFO, Howard Hideshima, who was alleged by regulators to have ...