The Commission initiated two proceedings involving auditors who improperly and repeatedly signed off on unqualified audit opinions. One action involved audits for a municipality and settled. In the Matter of Domenick F. Consolo, CPA, Adm. Proc. File No. 3-17654 (Oct. …
Month: October 2016
This Week In Securities Litigation (Week ending Oct. 28, 2016)
The Commission, along with the DOJ, filed a settled FCPA action against aircraft manufacturer Embraer. The action centered on bribes paid in multiple countries to facilitate the sale of aircraft. The agency also brought an insider trading action against a …
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Tagged with: audit failure, DOJ, FCPA, Insider trading, offering fraud, SEC, unregistered securities