All United States articles – Page 132
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USAA expands ESG head’s role to include DEI
USAA announced recently appointed head of environmental, social, and governance Tara Leweling will serve in an expanded role as vice president, chief diversity and sustainability officer.
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Blue Wolf promotes interim CFO to chief financial, compliance officer
Blue Wolf Capital Partners, a New York-based private equity firm, announced the appointment of Eve Gerriets Mongiardo to chief financial officer and chief compliance officer.
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Perceptive Advisors fined $1.5M for SPACs conflicts, disclosure violations
Perceptive Advisors agreed to pay $1.5 million for allegedly steering clients toward special purpose acquisition companies its investment advisers had financial interests in and failing to disclose those conflicts in a timely fashion.
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Aventura Capital to pay nearly $1M over conflict disclosure lapses
Florida-based investment firm Aventura Capital Management agreed to return more than $700,000 to harmed investors and pay a $225,000 fine for failing to disclose conflicts of interest regarding its mutual fund share class selection process.
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ArticleSEC warns auditors of risks in taking on Chinese clients
U.S.-based audit firms seeking new public company clients in China should ensure they have full access to previous audits and work papers before taking the job or risk potential enforcement, the acting chief accountant at the Securities and Exchange Commission warned.
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ArticleNatixis agrees to $2.8M CFTC fine for oversight failures
Natixis, a Paris-based global bank and swap dealer, will pay a $2.8 million fine to the Commodity Futures Trading Commission to settle charges it failed to prevent rogue traders from submitting false and misleading entries on trades over five years.
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ArticleBayer to pay $40M to settle long-running false claims suits
Bayer agreed to pay $40 million to settle allegations its sales team paid kickbacks to hospitals and doctors for prescribing its drugs and that the pharmaceuticals company downplayed risks regarding certain of its offerings.
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ArticleDetails murky in Samsung’s second data breach this year
Samsung revealed a hacker accessed the personal data of an unspecified number of its U.S.-based customers, even after improving its cybersecurity systems following a previous breach earlier this year.
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Washington Federal promotes chief risk officer to CFO
Washington Federal, the parent company of Washington Federal Bank, announced the promotion of Chief Risk Officer Kelli Holz to chief financial officer.
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Centene appoints chief ethics and compliance officer
Managed care company Centene Corp. announced the appointment of Ashlee Knuckey as chief ethics and compliance officer.
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ArticlePhilips subsidiary to pay $24M for kickback violations
Philips RS North America agreed to pay more than $24 million to settle allegations it paid kickbacks to medical equipment suppliers to push its products ahead of other brands that are provided to patients of federal health programs.
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CHS avoids fine in SEC accounting fraud case
Minnesota-based agricultural cooperative CHS settled charges levied by the Securities and Exchange Commission that the company violated federal securities laws when it filed materially false financial statements with the agency over five years.
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ArticleWells Fargo ordered to pay ex-manager $22M in SOX whistleblower case
Wells Fargo must pay more than $22 million to a former senior banking executive who alleged to the Occupational Safety and Health Administration they were retaliated against for blowing the whistle on financial misconduct.
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ArticleUpheld ex-Alstom exec’s acquittal affirms ‘setback’ for FCPA’s reach
The latest development in the nearly decadelong Lawrence Hoskins court case has the potential to open the door for foreign nationals involved in aiding U.S. companies with foreign bribery schemes to escape liability under the Foreign Corrupt Practices Act, according to experts.
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Walgreens appoints U.S. head of ESG, DEI
Retailer Walgreens Boots Alliance announced the promotion of Vice President of Federal Government Relations Alethia Jackson to senior vice president of ESG and chief DEI officer for the United States, effective Oct. 1.
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Xactus names general counsel, chief compliance officer
Xactus, a credit score verification company serving the mortgage industry, announced the appointment of Ross Gloudeman as general counsel and chief compliance officer.
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Atlantic Union Bank appoints chief risk officer
Atlantic Union Bank announced the appointment of Sherry Williams as chief risk officer.
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ArticleSEC fines ex-PPG controller $100K over accounting improprieties
The Securities and Exchange Commission ordered Mark Kelly, the former principal accounting officer and controller at PPG, to pay $100,000 for accounting improprieties aimed at inflating the painting supply company’s earnings per share.
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ArticleFTC sues Kochava for collecting, selling mobile phone user data
Data broker Kochava has been sued by the Federal Trade Commission for selling geolocation data on hundreds of millions of mobile phone customers that could unveil sensitive personal information without their knowledge or consent.
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McDonald’s names chief impact officer to head ESG
Fast food chain McDonald’s announced the appointment of Jon Banner as executive vice president and global chief impact officer. He will oversee the company’s sustainability and environmental, social, and governance efforts.