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News Stories (8 Results) - Securities and Exchange Commission

The Securities and Exchange Commission charged Daniel Kamensky, co-chair of the unsecured creditors committee in the Neiman Marcus Group Ltd. LLC Chapter 11 bankruptcy proceedings, with abusing his position on the committee to attempt to benefit a... Read Story
September 08, 2020, 08:45 AM


The Securities and Exchange Commission announced that broker Cantor Fitzgerald & Co. will pay more than $647,000 and broker BMO Capital Markets Corporation will pay over $3.9 million to settle charges of improper handling of "pre-released" American... Read Story
August 19, 2019, 08:40 AM


The Securities and Exchange Commission took another significant step toward establishing the regulatory regime for security-based swap dealers today by adopting a package of rules and rule amendments under Title VII of the Dodd-Frank Act.  These and... Read Story
June 24, 2019, 09:00 AM


Business Development Companies (BDCs) that rely on Collateralized Loan Obligations (CLOs) as a part of their funding strategies can breathe a little easier after the Securities and Exchange Commission suggested it would not take enforcement action... Read Story
September 13, 2018, 07:56 AM


The Securities and Exchange Commission announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of $16.25 million in penalties to settle charges involving internal control failures... Read Story
August 29, 2018, 07:14 AM


The Securities and Exchange Commission announced that four private equity fund advisers affiliated with Apollo Global Management have agreed to a $52.7 million settlement for misleading fund investors about fees and a loan agreement and failing to... Read Story
August 25, 2016, 07:43 AM


The Securities and Exchange Commission charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding investors in a municipal bond offering to finance startup video game company 38 Studios. The Rhode Island Economic... Read Story
March 08, 2016, 08:08 AM


The Securities and Exchange Commission announced that an investment advisory firm in Philadelphia has agreed to pay more than $21 million to settle charges that it fraudulently retained fees belonging to collateralized debt obligation (CDO)... Read Story
September 04, 2015, 07:58 AM