All United States articles – Page 16
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News BriefTD Bank unit to pay $28M in penalties for failing to properly supervise rogue trader
Broker-dealer TD Securities failed to prevent a trader from placing and then withdrawing thousands of false trades over the course of a year in part because its compliance department failed to follow up on red flags generated by the illegal trades, three regulators said.
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News BriefFINRA fines Merrill Lynch, BofA Securities $2.3M for reporting, registration failures
The Financial Industry Regulatory Authority issued two separate fines against Merrill Lynch and BofA Securities totaling nearly $2.3 million for reporting violations and failing to timely file amendments on registration forms for their registered representatives.
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TFSB names TMNA diversity chief as CEO
Toyota Financial Savings Bank (TFSB) named Tellis Bethel, Toyota Motor North America (TMNA) group vice president, chief social innovation officer, and chief diversity officer, as its president and CEO.
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Nauticus Robotics announces GC
Nauticus Robotics announced that John Symington was appointed as general counsel.
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Leviton’s sustainability chief to also serve as COO
Leviton, which offers a wide range of lighting controls, wiring devices and networking, announced the appointment of its chief sustainability officer Ross Goldman as a chief operating officer.
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News BriefCassava Sciences settles with SEC for $40M over skewed Alzheimer’s drug data
A former Alzheimer’s researcher manipulated the results of a Cassava Sciences drug, with the pharmaceutical company and its former chief executive reaching a $40 million settlement with the Securities and Exchange Commission over allegedly misleading the public.
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News BriefFinCEN, OFAC sanction crypto platforms linked to Russia, cybercrime
U.S. and European law enforcement agencies have announced sanctions against two Russia-linked cryptocurrency platforms in their ongoing chase to snuff out Russian-linked financial platforms that assist cybercriminals.
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GeoLinks appoints general counsel
GeoLinks, an enterprise-level telecommunications company, announced that Mark Funaki has joined the company as general counsel and corporate secretary.
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San Antonio Water System names legal, ethics chief
The San Antonio Water System has promoted Edward Guzman to the position of senior vice president/chief legal and ethics officer.
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LendingPoint adds risk chief
LendingPoint announced that Dan Shuntich has joined the executive team as chief risk officer.
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PSEG names new GC
Infrastructure company PSEG announced that Deputy General Counsel and Chief Litigation Counsel Grace Park has been appointed executive vice president and general counsel.
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IDEAYA appoints general counsel
IDEAYA Biosciences announced that Douglas Snyder joined the company as its senior vice president, general counsel.
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Mobile Network 24 appoints general counsel
Mobile Network 24 appointed Lucien Marioneaux as its director of aviation and general counsel.
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Atlantic Music Group announces GC
Atlantic Music Group announced that Erica Bellarosa is promoted to general counsel.
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Morris & Dickson announces compliance chief
Pharmaceutical distributor Morris & Dickson announced that Vinu Pillai has joined the company as its chief compliance and regulatory officer.
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PCBB appoints chief risk officer
Financial firm PCBB announced the appointment of Radhika Lipton as chief risk officer.
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eBay announces legal chief, GC
eBay announced the appointment of Samantha Wellington as senior vice president, chief legal officer, general counsel and secretary, effective Oct. 7.
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Amtrak appoints general counsel
National passenger railroad company Amtrak appointed Byl Herrmann to the position of executive vice president and general counsel, effective Oct. 1.
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AMMO names compliance chief as CFO
AMMO, which designs and manufactures products for a variety of aptitudes, including law enforcement, military, sport shooting and self-defense, announced that Paul Kasowski, who has served as the company’s chief compliance and transformation officer, has been appointed as the new chief financial officer.