Month: November 2017

The Commission has an on-going program monitoring whether broker-dealers timely file suspicious activity reports or SARS with the Financial Crimes Network or FinCEN. Its most recent case in this area focused on the failure of a firm to properly file …

SEC Charges Wells Fargo With Failing to File SARs Read More »

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The DOJ unsealed criminal charges against five individuals involved in the Rolls-Royce FCPA action previously brought by the DOJ, SFO and Brazilian authorities. The charges were filed in the Southern District of Ohio. Each executive except one pleaded guilty. Last …

This Week In Securities Litigation (Week ending Nov. 10, 2017) Read More »

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