The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be engaged in the business …
SEC Settles Unregistered Broker Charges Tied To Offering Fraud Read More »
The SEC filed another settled action in which payments to health care professionals at state owned entities in China were alleged to be violations of the Foreign Corrupt Practices Act. Although the company furnished extensive cooperation, it paid disgorgement, prejudgment …
SEC Settles FCPA Charges Tied to Payments to Health Care Professionals Read More »