The Commission’s complaint alleged that Malachi and Bingham fraudulently overcharged the City of Rolling Fork, Mississippi by $33,000 in May 2015, in connection with providing ...
Terracciano was serving as Aegis’ AML CO, Aegis failed to file Suspicious Activity Reports (“SARs”) on hundreds of transactions when it knew, suspected, or had ...
Zullo used false suitability information on annuity and account applications and documentation in selling unsuitable and disproportionately large variable annuities to his clients. These sales ...
In October and November of 2015, Johnson misappropriated material nonpublic information about the proposed acquisition from his relative (“Individual A”), a certified public accountant who ...
Because many of Credit Suisse’s clients were state-owned entities (“SOEs”), and because the individuals personally requesting employment or internships for their relatives and friends were ...
The Securities and Exchange Commission (“Commission”) is proposing for public comment several amendments to the Commission’s rules implementing its whistleblower program. Section 21F of the ...
The complaint also alleged that Bingham failed to disclose to the city that he had accepted payments totaling $2,500 from Anthony Stovall, an employee of ...
For more than 10 years, Joseph "Jay" Ludovico and another Cantor Fitzgerald trader used personal checks to pay a portion of their commissions to Adam ...
These proceedings arise out of MSSB’s failure to adopt policies and procedures reasonably designed to prevent MSSB personnel from misusing and misappropriating funds in client ...
Typically, the sales traders would write these checks and hand them to Mattessich on the trading desk, without making any effort to conceal this activity ...