• Home
  • About
  • Webcasts
  • ‘Enforcement 40’ for 2020
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Securities-Docket-Leaderboard_9Sec
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / Wells Notice

Wells Notice

GE Says It Has Received ‘Wells Notice’ From SEC Relating to Accounting Investigation — Update | MarketScreener

By Securities Docket on October 7, 2020, 8:14 am

Federal securities regulators have warned General Electric Co. the company could face a civil-enforcement action over its accounting for a legacy insurance business, adding a fresh hurdle to efforts to turn around the once-mighty manufacturer. The industrial giant said in a securities filing Tuesday that it received the so-called Wells notice on Sept. 30 over […]

Posted in SEC, Top | Tagged Wells Notice

New Data Show SEC Drops 20% of Investigations Following Wells Notice – Compliance Week

By Securities Docket on October 10, 2013, 8:05 pm

The SEC’s Wells process allows people and entities in the SEC’s crosshairs to file a submission with the Commission to try to persuade it not to bring a case. New data for a recent two-year period show that approximately 20% of individuals who received a Wells notice from the SEC ended up not facing charges. […]

Posted in SEC, Top | Tagged Reports, Wells Notice

Netflix and its CEO Receive Wells Call Over Supposed 'Disclosure' Via Facebook Post

Netflix and its CEO Receive Wells Call Over Supposed ‘Disclosure’ Via Facebook Post

By Securities Docket on December 7, 2012, 1:53 pm

SEC reportedly believes information on Facebook page was material and subject to Regulation FD.

Posted in SEC, Top | Tagged Regulation FD, Wells Notice

SEC Issues Wells Notice to Proxy Adviser ISS

SEC Issues Wells Notice to Proxy Adviser ISS

By Securities Docket on October 5, 2012, 11:08 am

ISS discloses receipt of Wells Notice from SEC following whistleblower complaint against a subsidiary.

Posted in SEC, Top | Tagged Wells Notice

Falcone Rejects an Offer by SEC

Falcone Rejects an Offer by SEC

By Securities Docket on December 23, 2011, 5:48 pm

Hedge-fund manager rejects SEC settlement offer that would have banned him from securities industry.

Posted in SEC, Top | Tagged Philip Falcone, Settlements, Wells Notice

Falcone’s Harbinger Capital Gets SEC ‘Wells Notice’

Falcone’s Harbinger Capital Gets SEC ‘Wells Notice’

By Securities Docket on December 9, 2011, 3:12 pm

Harbinger Capital discloses “Wells Notices” from the staff of the SEC.

Posted in SD Insider, SEC, Top | Tagged Hedge Funds, Wells Notice

Standard & Poor’s has argued SEC should drop case

Standard & Poor’s has argued SEC should drop case

By Securities Docket on October 21, 2011, 3:10 pm

S&P argues to SEC why agency should not commence enforcement proceedings related to ratings of subprime mortgage-related securities.

Posted in SD Insider, SEC, Top | Tagged Subprime, Wells Notice

SEC May Recommend Legal Action Against S&P

SEC May Recommend Legal Action Against S&P

By Securities Docket on September 26, 2011, 1:09 pm

McGraw-Hill Cos., which owns S&P, says it received Wells Notice from SEC’ last week.

Posted in SEC, Top | Tagged Wells Notice

Mudd Wells Call Hits 180-Day Deadline Under Dodd-Frank – Compliance Week

Mudd Wells Call Hits 180-Day Deadline Under Dodd-Frank – Compliance Week

By Securities Docket on September 9, 2011, 8:09 pm

March 2011 Wells call to former CEO of Fannie Mae may be first case to come to a head under deadline set forth in Section 929U of Dodd-Frank.

Posted in SEC, Top | Tagged Dodd-Frank, Wells Notice

Moody's Discloses Receipt of Wells Notice from SEC

Moody’s Discloses Receipt of Wells Notice from SEC

By Securities Docket on May 10, 2010, 3:54 pm

Wells notice connected to registration as a nationally recognized statistical rating organization.

Posted in SEC | Tagged Rating agencies, Wells Notice | 1 Response

Next »

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2021 Securities Docket.

Powered by WordPress and Hybrid.