- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Image: Slamming the SEC and Justice Department for a “slap on the wrist” approach to enforcement, Sen. Elizabeth Warren, in a recent speech, also championed a slate of financial reforms, including a transaction tax to restrain high-frequency trading, restoring the former Glass-Steagall Act, and reducing the size and risk of ...
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Crypto-friendly Silvergate Bank will pay a total of $63 million penalties to California and the Federal Reserve Board to settle charges that its anti-money laundering program failed to properly monitor more than $1 trillion worth of customer transactions.
The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.
A Nevada energy and manufacturing company headquartered in Nova Scotia agreed to pay $1 million to settle charges levied by the Securities and Exchange Commission for alleged market manipulation and fraud, while the agency further investigates its former chief executives.
