OCC Reports Improvement in Mortgage Performance — 2021-09-28
WASHINGTON—The Office of the Comptroller of the Currency (OCC) reported that the performance of first-lien mortgages in the federal banking system improved…
Banking
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Stocks
SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors"
The Securities and Exchange Commission's Atlanta Regional Office and the University of Georgia School of Law will co-host a panel discussion on…
Stocks
SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with EB-5 Securities Fraud
The Securities and Exchange Commission today announced that it filed an emergency action and obtained an asset freeze, among other relief, against…
Stocks
SEC Bars Two Individuals from Whistleblower Award Program
The Securities and Exchange Commission today announced that it has barred two individuals from the SEC's whistleblower award program, each of whom…
Stocks
Erik Gerding joins Division of Corporation Finance as Deputy Director, Legal and Regulatory Policy
The Securities and Exchange Commission today announced that Erik Gerding has been named Deputy Director, Legal and Regulatory Policy, for the Division…
Stocks
SEC Charges Florida Payday Lender and CEO with Affinity Fraud Targeting the Venezuelan-American Community
The Securities and Exchange Commission today announced charges against Sky Group USA LLC, a payday loan company based in Miami, and its…
Stocks
SEC Charges Two Individuals for Wash Trading Scheme Involving Options of "Meme Stocks"
The Securities and Exchange Commission today charged a Florida resident and his friend for engaging in a fraudulent scheme designed to collect…
Stocks
SEC Delivers Report to Congress with Recommendations from the 40th Annual Small Business Forum
Today the Office of the Advocate for Small Business Capital Formation delivered a report to Congress on the Securities and Exchange Commission's…
Banking
FDIC Makes Public August Enforcement Actions — 2021-09-24
No Administrative Hearings Scheduled for October 2021 WASHINGTON - The Federal Deposit Insurance Corporation (FDIC) today released a list of orders of…
Stocks
SEC Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings
The Securities and Exchange Commission today charged Thomas Powell and Stefan Toth, and their entities, Resolute Capital Partners LTD LLC and Homebound…
Stocks
SEC Awards Approximately $36 Million to Whistleblower
The Securities and Exchange Commission today announced an award of approximately $36 million to a whistleblower whose information and assistance significantly contributed…
Stocks
SEC Charges World's Largest Advertising Group with FCPA Violations
The Securities and Exchange Commission today announced that London-based WPP plc, the world's largest advertising group, has agreed to pay more than…
Investing
2021 Employee Benefits in the United States — 2021-09-23
Paid sick leave was available to 77 percent of private industry workers in March 2021, the U.S. Bureau of Labor Statistics reported…
Banking
OCC Releases Fall/Winter Schedule of Virtual Workshops for Community Bank Directors — 2021-09-23
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today announced its fall and winter schedule of free, virtual workshops for boards…
Investing
SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee
The Securities and Exchange Commission today released the agenda for the Sept. 27 meeting of the Asset Management Advisory Committee (AMAC). The…
Stocks
SEC Charges Principals of Subprime Automobile Finance Company with Fraud
The Securities and Exchange Commission today announced fraud charges against two former executives of a subprime automobile finance company for misleading investors…
Investing
SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors
The Securities and Exchange Commission today charged a Texas- and Colorado-based municipal advisor, Choice Advisors LLC, and its two principals, Matthias O'Meara…
Stocks
SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme
The Securities and Exchange Commission today filed two complaints in the United States District Court for the Eastern District of New York…
Stocks
SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme
The Securities and Exchange Commission today announced charges against Sergei Polevikov, who worked as a quantitative analyst at two prominent asset management…
Stocks
SEC Charges Puerto Rican Company and Managing Members with Fraud
The Securities and Exchange Commission today announced charges against Puerto Rico-based Back to Green Mining LLC and its two managing members, José…
Stocks
Changing Dynamics Pre-IPO and Going Public on the Agenda for the SEC’s Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission's Small Business Capital Formation Advisory Committee will meet virtually on Monday, Sept. 27 to explore the changing…
Banking
OCC Issues Cease and Desist Order Against MUFG Union Bank for Deficiencies Relating to Technology and Operational Risk Governance — 2021-09-20
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today issued a Cease and Desist Order against MUFG Union Bank, N.A. The…
Investing
SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
The Securities and Exchange Commission's Division of Examinations and Office of Municipal Securities (OMS), the Municipal Securities Rulemaking Board (MSRB), and the…
Stocks
SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings
The Securities and Exchange Commission today charged three individuals and one issuer with conducting a fraudulent scheme to sell nearly $2 million…