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Tag: U.S. Securities and Exchange Commission

SEC sanctions KPMG accountants over botched College of New Rochelle audit

They issued the 2015 audit report despite many unanswered questions and lack of documentation, according to the SEC, and overstated the college’s net assets by $33.8 million.

Tronox CEO takes leave of absence following SEC complaint

Quinn was appointed president and CEO at Tronox in December 2017.

SEC Commissioner warns of increased cyberattacks on corporate America

"I know companies are burdened in many ways," Clayton said.

Interactive Brokers reaches $38M settlements on anti-money laundering compliance charges

"We cooperated fully with our regulators in these inquiries," said a company spokesperson.

Norwalk’s Financial Accounting Foundation names new board leaders

Kathleen L. Casey is a former commissioner on the U.S. Securities and Exchange Commission.

NY and CT join lawsuit against SEC’s investor protection rule

"With this rule, the SEC is choosing Wall Street over Main Street," New York Attorney General Letitia James said.

Ramapo agrees with SEC to clean up bond finances

Ramapo officials fabricated financial reports to help sell municipal bonds and to help pay for Provident Bank Park, a minor league baseball stadium.