Daily Archives: September 19, 2013, 9:56 am

JPMorgan Agrees to Pay $200 Million, Admit Wrongdoing in SEC Settlement – Compliance Week

Today, the SEC announced that it had brought a settled administrative proceeding against JPMorgan Chase & Co. for misstating financial results and lacking effective internal controls. As it did last month in the Falcone case, the SEC required JPMorgan to admit to the facts underlying its charges, and to publicly acknowledge that it violated the federal securities laws. via JPMorgan…

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SEC Whistles Grow Louder – Martindale.com

I know I am not alone in wanting SEC whistleblower submissions to be resolved more quickly. Perhaps more than anyone else, the SEC wants this program to pick up speed. Sean McKessy, Chief of the SEC’s new whistleblower office, has stated the same desire on more than one occasion, and I am confident that his team is doing everything they…

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