‘Enforcement 40’ for 2020
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By Securities Docket on October 22, 2013, 3:26 pm
The SEC alleges that subsidiaries of Diebold Inc. in China and Indonesia spent approximately $1.8 million on travel, entertainment, and other improper gifts for senior officials with the ability to influence the banks’ purchasing decisions. Government-owned bank officials in China and Indonesia were rewarded with free trips to popular tourist destinations in the U.S. and […]
By Securities Docket on October 22, 2013, 11:25 am
In public filings and now in earnings calls, many companies are flagging the government shutdown as an issue that that may contribute to fourth quarter earnings shortfalls. via Companies Warn Shutdown May Negatively Impact Fourth Quarter Earnings – Compliance Week
By Securities Docket on October 22, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for October 21, 2013.
By Securities Docket on October 22, 2013, 8:14 am
Jamie Dimon isn’t signing a big check for nothing. After JPMorgan Chase agreed to a record $13 billion settlement to end a number of civil probes into its sale of mortgage securities, an ongoing criminal investigation is likely to wind down without charges against the bank or its top executives, according to sources close to […]
By Securities Docket on October 22, 2013, 8:13 am
No one likes to lose, so the Securities and Exchange Commission is surely smarting from a jury’s decision absolving Mark Cuban, the billionaire owner of the Dallas Mavericks, of insider trading charges. Although the case garnered headlines, it is unlikely to have much effect on other investigations, and even has a potential silver lining for […]
By Securities Docket on October 22, 2013, 8:05 am
Some on Wall Street have portrayed JPMorgan Chase as a victim of government zealotry. The bank is close to striking a $13 billion settlement over mortgage practices — the largest sum a corporation has ever paid to resolve government investigations. Adding to the sense of injustice, the bank’s defenders say that JPMorgan is paying for […]