All United States articles – Page 80
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News BriefBroker-dealers, IAs, credit raters caught in SEC off-channel comms sweep
A dozen financial services firms were penalized by the Securities and Exchange Commission as the agency continues its enforcement sweep of recordkeeping violations regarding employee use of off-channel communications for business purposes.
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News BriefAlbemarle to pay $218M in FCPA settlements with DOJ, SEC
Chemical company Albemarle was assessed penalties totaling more than $218 million as part of settlements with the Department of Justice and Securities and Exchange Commission addressing alleged violations of the Foreign Corrupt Practices Act across a handful of foreign countries.
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News BriefSpruce Power fined $11M for misleading electric vehicle projections
Solar energy services provider Spruce Power Holding Corp. was assessed an $11 million penalty by the Securities and Exchange Commission as part of a settlement addressing its predecessor’s alleged misleading of investors regarding its electric vehicle sales pipeline.
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News BriefCiti affiliates fined $2M in SEC Reg BI case
Citigroup Global Markets and Citi International Financial Services agreed to pay a total of nearly $2 million as part of a settlement with the Securities and Exchange Commission resolving allegations they violated the disclosure obligations of Regulation Best Interest.
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News BriefBoeing to pay $8.1M over Navy contract false claims
Aerospace giant Boeing agreed to pay $8.1 million as part of a settlement with the Department of Justice addressing allegations it submitted false claims regarding military aircraft contracts it had with the Navy.
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News BriefClear Channel Outdoor to pay $26M in FCPA case over China bribes
Clear Channel Outdoor Holdings agreed to pay more than $26 million as part of a settlement with the Securities and Exchange Commission alleging its former China-based subsidiary bribed government officials to obtain outdoor advertising contracts.
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CNB Bank promotes VP of compliance to chief risk officer
CNB Bank announced the promotion of Katie Andersen to senior vice president, chief risk officer.
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Bally’s names global chief compliance officer
Casino entertainment company Bally’s Corp. announced the appointment of Don Westcott as senior vice president, global chief compliance officer.
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Purple names chief legal officer
Purple Innovation, a premium mattress company, announced the appointment of Tricia McDermott as chief legal officer.
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PSSI appoints first chief compliance officer
Food safety solution and sanitation provider PSSI announced the appointment of Diego Alvarez as its first chief compliance officer.
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News BriefDHS designates three Chinese companies for Uyghur forced labor
The Department of Homeland Security designated three companies to a growing list accused by the Biden administration of forced labor practices in the Xinjiang region of China.
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Cybersecurity firm Intrusion to settle SEC fraud claims
Texas-based cybersecurity company Intrusion was charged with fraud by the Securities and Exchange Commission regarding alleged materially false and misleading statements made by its former chief executive.
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News Brief
Ex-Marcum partner suspended by SEC over Ault Alliance work
A former engagement quality review partner at Marcum agreed to pay a $30,000 penalty and be suspended as part of a settlement with the Securities and Exchange Commission addressing alleged violations of audit standards in his work at diversified holding company Ault Alliance.
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Comerica names chief compliance officer
Comerica Bank announced the appointment of Kristina Janssens as senior vice president, chief compliance officer.
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Prime Therapeutics appoints chief compliance officer
Prime Therapeutics/Magellan Rx, a pharmacy benefit manager, announced the appointment of Tizgel High as chief compliance officer.
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Kyros adds general counsel and chief compliance officer
Kyros, a Minnesota-based recovery services platform provider, announced Kathleen Finnegan as its new general counsel and chief compliance officer.
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Regions Financial names chief risk officer
Regions Financial Corp., parent company of Regions Bank, announced the appointment of Russell Zusi as chief risk officer.
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Centurion Wealth appoints chief compliance officer
Centurion Wealth, which specializes in holistic wealth management solutions tailored for entrepreneurs, executives, and independent women, announced Jill Grimes as its new chief compliance officer.
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News BriefDeloitte Colombia fined $900K by PCAOB for quality control violations
A Colombian affiliate of Big Four audit firm Deloitte agreed to pay $900,000 as part of a settlement with the Public Company Accounting Oversight Board addressing alleged quality control lapses that occurred during the 2016 audit of a bank.
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News BriefFinCEN proposes beneficial ownership reporting extension for 2024 companies
The Financial Crimes Enforcement Network announced a notice of proposed rulemaking to extend the deadline for companies created or registered in 2024 to file their initial beneficial ownership information reports.