All United States articles – Page 68
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News BriefVanEck fined $1.8M over influencer promo nondisclosure
Van Eck Associates agreed to pay $1.75 million as part of a settlement with the Securities and Exchange Commission regarding its alleged failure to properly disclose the planned involvement of a social media influencer in the launch of an exchange-traded fund.
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Deepwatch names first general counsel
Managed security platform Deepwatch announced Shane McGee joined its executive team as general counsel and chief privacy officer.
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Revlon announces general counsel
Cosmetics and hair care company Revlon Group Holdings announced David Schwartz was appointed general counsel.
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Hispanic National Bar Foundation appoints Velocity legal chief as president
The Hispanic National Bar Foundation appointed Justin Carlson, Velocity Solutions’ chief legal officer and general counsel, as its president.
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News BriefLincare to pay $26M over Medicare billing violations
Lincare, a supplier of durable medical equipment, agreed to pay $25.5 million to settle allegations it billed federal health programs for the rental of ventilator machines after patients no longer needed to use them.
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News BriefMorgan Stanley fined $1.6M by FINRA over municipal securities closeouts
Morgan Stanley will pay a $1.6 million fine levied by the Financial Industry Regulatory Authority for failing to close out certain municipal securities transactions over a five-year period.
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News BriefCFTC appoints new head of whistleblower office
The Commodity Futures Trading Commission appointed Brian Young as director of its whistleblower office.
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PremiumFinCEN head: Agency seeking to educate, not punish, BOI reporters
The Financial Crimes Enforcement Network will focus its attention regarding compliance with its new beneficial ownership reporting requirements on education and outreach during the first year of implementation, although “willful violations” will still merit punishment.
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News BriefEx-Sterling Bank GC cited by OCC over BSA-related failures
The Office of the Comptroller of the Currency issued a cease-and-desist order against the former general counsel at Sterling Bank and Trust for not ensuring the institution’s Bank Secrecy Act compliance and failing to timely file suspicious activity reports.
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PremiumDAG Monaco: AI to be top DOJ enforcement priority
The Department of Justice will seek stiffer penalties in cases where the threat of misconduct was greater because of misuse of artificial intelligence, according to Deputy Attorney General Lisa Monaco.
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AADR adds JG Wentworth CCO to executive board
The American Association for Debt Resolution added Lori Lasher, JG Wentworth’s executive vice president, chief legal officer, chief compliance officer, and general counsel, to its executive board of directors.
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Kafene appoints general counsel
Kafene, a point-of-sale leasing platform, announced the appointment of Vin Thomas as general counsel and corporate secretary.
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GoDaddy adds legal chief
Web hosting company GoDaddy will welcome Jared Sine as its chief strategy and legal officer.
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Evolve Bank & Trust appoints chief risk officer
Financial technology organization Evolve Bank & Trust announced it appointed Peter Moenickheim as chief risk officer.
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PremiumToeing the ‘fine line’ of cloud security compliance
When organizations move their data or operations to the cloud, the compliance team has their work cut out and then some, experts discussed at CW’s Cyber Risk & Data Privacy Summit.
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News BriefFinCEN: BSA data shows spike in crypto-financed human trafficking
Bank Secrecy Act reporting data disclosed by the Financial Crimes Enforcement Network revealed a significant spike in the use of cryptocurrency to finance human trafficking.
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Forward Air announces legal chief as interim CEO
Forward Air Corp., a provider of transportation services, appointed its Chief Legal Officer and Secretary Michael Hance as interim chief executive officer.
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Starlab Space appoints general counsel
Starlab Space, a transatlantic joint venture between Voyager Space and Airbus, announced Thomas Ayres will be its general counsel.
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AccuWeather appoints general counsel
Weather forecasting services provider AccuWeather appointed Rushelle Bailey as general counsel.
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News BriefZoetis says no action from OFAC in Iran sanctions matter
Zoetis, a developer and manufacturer of vaccines and medicines for animals, disclosed it was informed by the Office of Foreign Assets Control that it won’t face enforcement for potential violations of Iran sanctions uncovered during an acquisition integration.