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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 […]
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. […]
SEC reportedly believes information on Facebook page was material and subject to Regulation FD.
ISS discloses receipt of Wells Notice from SEC following whistleblower complaint against a subsidiary.
Hedge-fund manager rejects SEC settlement offer that would have banned him from securities industry.
Harbinger Capital discloses “Wells Notices” from the staff of the SEC.
S&P argues to SEC why agency should not commence enforcement proceedings related to ratings of subprime mortgage-related securities.
McGraw-Hill Cos., which owns S&P, says it received Wells Notice from SEC’ last week.
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.