Year: 2011

Merrill Lynch resolved claims that it misused customer order information, charged certain customers undisclosed trading fees and failed to maintain proper records. The firm consented to the entry of a cease and desist order and agreed to pay a $10 …

MERRILL SETTLES SEC CLAIMS Read More »

The SEC settled another FCPA case arising out of the violations of Innospec, Inc., a manufacturer and distributor of fuel additives and specialty chemicals. Previously the company settled with the SEC and DOJ (here). U.S. v. Innospec, Case No. 1:10-r-00061 …

FORMER INNOSPEC CFO AND CEO SETTLES FCPA CHARGES Read More »