- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
On May 7, in a letter to President Trump, SEC Commissioner Michael Piwowar announced plans to depart the post he has held since 2013. He intends to resign on June 7, or upon the swearing in of his successor.
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Becton Dickinson medical device company will pay $175 million for “repeatedly” misleading investors about its Alaris infusion pump, a product the company knew was flawed and was sold without the required patient-safety approvals, the Securities and Exchange Commission said.
The Securities and Exchange Commission charged bankrupt fashion retailer Express with failing to disclose nearly $1 million in perks to a former chief executive, but did not levy a financial penalty thanks to its cooperation, the SEC said.
New York-based SeaCrest Wealth Management will pay a $375,000 fine for failing to properly prevent a cherry-picking scheme perpetrated by one of its investment advisers.
