All United States articles – Page 21
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Blog
Wheels Up announces legal chief
Wheels Up Experience, an on-demand private aviation provider, announced that Matthew Knopf will be joining as chief legal officer and secretary, effective Sep. 9.
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News BriefRaymond James to pay $1.9M over failing to supervise mutual fund transactions
Raymond James & Associates and its subsidiary agreed to pay more than $1.9 million to settle allegations levied by the Financial Industry Regulatory Authority that it didn’t have an effective system to handle customer complaints, along with millions of direct mutual fund transactions not reasonably being supervised.
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Blog
Konami Gaming names CCO
Konami Gaming announced that Lori Olk has been appointed senior vice president, regulatory compliance and chief compliance officer.
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Blog
Golden State Clean Energy announces GC
Golden State Clean Energy announced the hiring of Erica von Pechmann as general counsel.
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News BriefBank of America unit reaches $3M settlement with FINRA over surveillance lapses
A subsidiary of Bank of America agreed to pay $3 million and take remedial measures to resolve allegations that its surveillance system didn’t detect manipulative trading, the Financial Industry Regulatory Authority said.
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News BriefBCG avoids criminal prosecution for FCPA violations related to bribes in Angola
The Department of Justice declined to prosecute Boston Consulting Group for allegedly bribing Angolan officials in violation of the Foreign Corrupt Practices Act, citing the firm’s prompt self-disclosure and timely remediation.
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News BriefNasdaq unit reaches $22M settlement with CFTC over supervision failures
The Commodity Futures Trading Commission fined a Nasdaq subsidiary $22 million over allegedly misleading the public, regulators, and its own compliance staff about the details of a trader incentive program.
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Blog
Clarivate names chief administrative, legal officer
Clarivate appointed Melanie Margolin to the expanded role of chief administrative and legal officer.
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Blog
Vanguard announces general counsel
Investment management firm Vanguard announced that Tonya Robinson will join as general counsel and managing director of its legal division, effective Oct. 1.
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Blog
Pyxus International appoints new CCO
Agricultural company Pyxus International announced the appointment of David Singer as senior vice president, chief legal officer, and secretary.
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Blog
Simplex Trading appoints GC
Simplex Trading announced the appointment of Nancy Laethem Stern as managing director, general counsel.
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Blog
Kinderhook Industries hires GC, compliance chief
Private investment firm Kinderhook Industries announced that Michael Iuliano has joined the firm as general counsel and chief compliance officer.
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News BriefPham cries CFTC overreach against compliance officer in $48M fine of TOTSA
The Commodities Futures Trading Commission fined TOTSA TotalEnergies Trading $48 million for allegedly engaging in price manipulation, with Commissioner Carolyn Pham defending a compliance officer at the Swiss energy company accused of making false statements.
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Blog
Nashville General Hospital welcomes new CCO
Nashville General Hospital welcomed Kristi Faulkner Lewis as its new chief compliance officer.
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News BriefCFTC orders BNY to pay $5M over reporting failures
BNY, formerly BNY Mellon, will pay a $5 million fine to the Commodity Futures Trading Commission for “significant reporting failures” related to its swap dealer business.
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News BriefNordea Bank to pay $35M to resolve NYDFS probe into AML shortcomings
Finland-based Nordea Bank will pay $35 million to resolve an investigation by the New York Department of Financial Services into “significant compliance failures” in its anti-money laundering and Bank Secrecy Act program.
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News BriefAustal reaches $49M deal with DOJ, SEC over accounting, securities fraud, false claims
The U.S.-based subsidiary of Australian defense contractor Austal will pay $48.8 million in fines and restitution to settle allegations that it committed accounting and securities fraud, misled federal auditors, and violated the False Claims Act.
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News BriefDOJ orders LA to pay $38M over filing false claims for HUD grants
Los Angeles will pay more than $38 million to resolve allegations, first brought by two whistleblower, that for a decade the city knowingly shut people with disabilities out of affordable housing created through federal funds, the Department of Justice (DOJ) said.
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News BriefSEC fines Sound Point Capital $1.8M over policy failures
Investment adviser Sound Point Capital Management will pay a $1.8 million fine to the Securities and Exchange Commission for failing to have written compliance procedures on handling material nonpublic information.
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News BriefDutch DPA fines Uber $324M over transferring driver data to U.S.
The Dutch Data Protection Authority fined Uber 290 million euros (U.S. $323.7 million) for illegally transferring data on European drivers to American servers and failing to appropriately safeguard the transfers.