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settle charges

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Citibank agreed to pay millions to settle charges

08/11/2018(0)
The Securities and Exchange Commission (SEC) announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs). ADRs ... Read More
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Online trading provider paid €50.000 to settle charges

02/10/2018(0)
The Cyprus Securities and Exchange Commission (CySEC), the financial regulatory authority of Cyprus, has issued an announcement to inform that a settlement has been reached with the Cyprus Investment Firm ... Read More
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Investment advisory firm to pay more than $630,000 to settle charges

01/11/2017(0)
Investment advisory firm Millennium Management LLC has agreed to pay more than $630,000 to settle charges that it shorted U.S. stocks in companies planning follow-on offerings and then illegally ... Read More
kpmg

KPMG agreed to pay Millions for audit failures

17/08/2017(0)
The Securities and Exchange Commission (SEC) announced that KPMG has agreed to pay more than $6.2 million to settle charges that it failed to properly audit the financial statements ... Read More
The corporate logo of financial firm Morgan Stanley is pictured on a building in San Diego

Morgan Stanley agreed to pay an $8 million penalty and admit wrongdoing

15/02/2017(0)
The Securities and Exchange Commission (SEC) announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single ... Read More
The corporate logo of financial firm Morgan Stanley is pictured on a building in San Diego

Morgan Stanley to pay $3.2 billion to settle financial crisis-era charges

12/02/2016(0)
Morgan Stanley (MS.N) will pay about $3.2 billion to settle charges that it misled investors in residential mortgage-backed securities that later soured during the financial crisis, federal and state officials ... Read More
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SEC Charges Goldman Sachs

15/01/2016(0)
SEC Charges Goldman Sachs With Improper Securities Lending Practices The Securities and Exchange Commission announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that ... Read More
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