Strengthening Practices for Preventing and Detecting Unauthorized Trading and Similar Activities | SEC No. 2012-33, National Examination Risk Alert – Volume II |
2/27/2012
The Securities and Exchange Commission has released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts.
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The Proposed Acquisition of Medco Health Solutions, Inc., by Express Scripts, Inc. | FTC File No. 111 0210 |
4/2/2012
The Federal Trade Commission has closed its investigation of the proposed acquisition of pharmacy benefits manager Medco Health Solutions, Inc. by Express Scripts, Inc. More...
Memorandum of Understanding between the U.S. SEC and the ESMA and the U.S. SEC and the CIMA | SEC No. 2012-49 |
3/23/2012
The Securities and Exchange Commission has established comprehensive arrangements with the Cayman Islands Monetary Authority (CIMA) and the European Securities and Markets Authority (ESMA) as part of long-term strategy to improve the oversight of regulated entities that operate across national borders. More...
Strengthening Practices for the Underwriting of Municipal Securities and Investor Bulletin: Municipal Bonds | SEC No. 2012-48, National Examination Risk Alert, Volume 2, Issue 3 |
3/19/2012
The Securities and Exchange Commission has issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. The agency also issued an Investor Bulletin to help educate investors about municipal bonds. More...
U.S. ex rel. Becker, et al. v. Tools & Metals, Inc., et al. | DOJ No. 12-367, Civil Action No. 3:05-CV-0627-L, U.S. District Court for the Northern District of Texas |
3/23/2012
Lockheed Martin Corporation has agreed to pay $15,850,000 to settle allegations that it mischarged perishable tools used on numerous government contracts, according to the U.S. Department of Justice. More...
USA v. Tesler et al. | DOJ No. 12-249, Case No. 4:09cr98, US District Court for the Southern District of Texas |
2/24/2012
Albert “Jack” Stanley, a former chairman and chief executive officer of Kellogg, Brown & Root Inc. (KBR), has been sentenced to 30 months in prison for conspiring to violate the Foreign Corrupt Practices Act (FCPA) by participating in a decade-long scheme to bribe Nigerian government officials to obtain engineering, procurement and construction (EPC) contracts and for conspiring to commit mail and wire fraud as part of a separate kickback scheme, the Justice Department’s Criminal Division today announced. More...
In the Matter of Alchemy Ventures, Inc., et al.; SEC v. Igors Nagaicevs | SEC No. 2012-17, Release No. 66249; Case No. CV 12-0413, U.S. District Court for the Northern District of California |
1/26/2012
The Securities and Exchange Commission has charged a trader in Latvia for conducting a widespread online account intrusion scheme in which he manipulated the prices of more than 100 NYSE and Nasdaq securities and caused more than $2 million in harm to customers of U.S. brokerage firms. More...
In the Matter of Symmetry Medical, Inc., et al. | Litigation Release No. 22241, Release No. 66268, Release No. 66269, SEC No. 2012-21 |
1/30/2012
The Securities and Exchange Commission has charged four former senior executives and accountants at the British subsidiary of an Indiana-based manufacturer of medical devices and aerospace products for their roles in an accounting fraud that was so pervasive that it distorted the financial statements of the parent company. More...
SEC v. Shervin Neman, et al. | SEC No. 2012-64, Case 2:12-cv-03142-JHN-PLA, U.S. District Court for the Central District of California, April 13, 2012 |
4/13/2012
The Securities and Exchange Commission today obtained an emergency court order to halt an ongoing Ponzi scheme that targeted members of the Persian-Jewish community in Los Angeles. More...
USA v. Blackburn, et al. | Case No. 1:09cr976, US District Court for the Northern District of Illinois |
2/15/2012
Two co-founders of Canopy Financial, Inc., a bankrupt health care transaction software company based in Chicago, Illinois, have been sentenced to 15 and 13 years in prison for defrauding investors and clients of more than $93 million. More...
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