In Hollywood, the sequel (or, even more so, the third installment) is rarely as good as the original movie. In the world of enforcement, the same rings true....more
3/6/2025
/ Artificial Intelligence ,
Consent Order ,
Corporate Governance ,
Corporate Misconduct ,
Criminal Conspiracy ,
Criminal Convictions ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Enforcement Actions ,
False Statements ,
Financial Crimes ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Subsidiaries ,
White Collar Crimes
In a series of settlements announced this year, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) penalized several broker-dealers for allegedly failing to file...more
11/9/2023
/ Anti-Money Laundering ,
Banking Sector ,
Broker-Dealer ,
Compliance Monitoring ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
NASD ,
Registered Representatives ,
Regulation SHO ,
Remediation ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Self-Reporting ,
Settlement ,
Suspicious Activity Reports (SARs) ,
Threshold Requirements
Enforcement was in the air this Valentine's Day for the New York and Forth Worth Regional offices of the SEC, who on Feb. 14, 2023, announced charges against Christopher S. Kirchner – the former CEO of supply chain logistics...more