Complaint

Two Execs Pay Penalties for FCPA Violations
Risk Management

Two Execs Pay Penalties for FCPA Violations

The pair funneled millions of dollars to government officials in Macedonia and Montenegro to shut out telecom competition.
By Vincent Ryan | April 25, 2017
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U.S. Sues Barclays Over $30B in Toxic RMBS
Risk & Compliance

U.S. Sues Barclays Over $30B in Toxic RMBS

Due diligence vendors described some of the loans underlying the securities as having the “distinct aroma of default.”
By Matthew Heller | December 22, 2016
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Traders Accused of $25M Market Manipulation
Risk & Compliance

Traders Accused of $25M Market Manipulation

The SEC says the traders made at least 23,000 coordinated trades to manipulate the prices of more than 2,000 stocks.
By Matthew Heller | December 12, 2016
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CFO, 3 Others Charged With Mobile-Fuel Fraud
Risk & Compliance

CFO, 3 Others Charged With Mobile-Fuel Fraud

The SEC alleges fraudulent billing practices at SMF Energy allowed the firm to post profits when it actually lost money.
By Matthew Heller | September 25, 2015
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Ex-American Apparel CFO Accused of Cover-Up
Risk & Compliance

Ex-American Apparel CFO Accused of Cover-Up

Lawsuit is the latest in a series of bizarre events surrounding the company.
By Matthew Heller | April 23, 2015
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