‘Enforcement 40’ for 2020
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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 […]
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. […]
By Securities Docket on December 7, 2012, 1:53 pm
SEC reportedly believes information on Facebook page was material and subject to Regulation FD.
By Securities Docket on October 5, 2012, 11:08 am
ISS discloses receipt of Wells Notice from SEC following whistleblower complaint against a subsidiary.
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.
By Securities Docket on December 9, 2011, 3:12 pm
Harbinger Capital discloses “Wells Notices” from the staff of the SEC.
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.
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.
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.