Back to Results
First PageMeta Content
Late-2000s financial crisis / United States securities law / Corporate crime / U.S. Securities and Exchange Commission / Insider trading / Sarbanes–Oxley Act / Dodd–Frank Wall Street Reform and Consumer Protection Act / Robert Khuzami / Mutual fund scandal / Business / Finance / Economics


2014 Mid-Year Securities Enforcement Update
Add to Reading List

Document Date: 2014-07-11 15:29:05

Open Document

File Size: 320,16 KB

Share Result on Facebook

City

Philadelphia / New York / Washington / DC / /

Company

Transamerica / Wedbush Securities / STEC Inc. / Clean Energy Capital LLC / Twitter / Scottrade / Dewey & LeBoeuf LLP. / Informatica Corp. / Jefferies LLC / Oracle Corp. / Citigroup / Total Wealth Management / CVS Caremark Corp. / Lions Gate Entertainment / Allscripts Healthcare Solutions / Radius Capital Corp. / Diamond Foods / Regions Bank / BP / Albertson's / eBay / GSI Commerce / Insider Trading A. Classical Insider Trading / TL Ventures Inc. / Navigator Money Management / Genta Inc. / Michael's Stores Inc. / Ross Stores / Western Asset Management Company / /

Country

China / United States / /

Currency

USD / /

Event

Reorganization / M&A / Business Partnership / Labor Issues / /

IndustryTerm

improper accounting adjustments / storage device maker / media speculation / public company accounting / finance / cooperation tools / large law / law judges / bank / false accounting entries / nowdefunct law / software company founders / non-audit services / high-tech review / alleged accounting violations / large networks / media reports / individual traders / payroll services / oil / alleged real estate / biopharmaceutical / investment bank / /

Organization

Division's Financial Reporting and Audit Task Force / SEC's Enforcement Division / Supreme Court / Alabama Department of Banking / United States Court of Appeals / U.S. Securities and Exchange Commission / Task Force / federal district court in Washington / Audit Committee of a China-based / Food and Drug Administration / Federal Reserve Bank / UN Court / /

Person

Sam Wyly / Marlon Quan / Mark Grimaldi / Anne Small / Joseph Contorinis / Mary Jo White / Saleem Kahn / Nelson Obus / Charles Wyly / Andrew Ceresney / /

Position

mayor / president / Funds A. General / clerk / independent compliance consultant / auditor / accountant / finance manager / money manager / official / hedge fund advisor / CEO / Financial Advisors / managing director / executive / going forward / director of an investment bank / director of a vitamin company and his family members / private equity fund manager / trader / Director Enforcement / Director of Enforcement / federal judge / hedge fund manager / counsel / foreign auditor / CEO and CFO / manager / director of a public company / head trader / administrative law judge / independent consultant / stockbroker / investment advisors / General Counsel / officer / Director / Enforcement / investment banker / Governor / chairman / director / related broker-dealer / Chair / finance director / Chairman / Executive Director / and Chief Financial Officer / judge / CFO / controller / adviser / co-manager / /

ProgrammingLanguage

DC / /

ProvinceOrState

California / Pennsylvania / Florida / /

SocialTag