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JPMorgan Admits To Widespread Recordkeeping Failures And Agrees To Pay $125 Million Penalty To Resolve SEC Charges - Firm Also Agrees To Implement Significant Improvements To Its Compliance Controls

The Securities and Exchange Commission today announced charges against J.P. Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan Chase & Co., for widespread and longstanding failures by the firm and its employees to maintain and preserve written communications. JPMS admitted the facts set forth in the SEC’s order and acknowledged that its conduct violated the federal securities laws, and agreed to pay a $125 million penalty and implement robust improvements to its compliance policies and procedures to settle the matter.

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SEC wins jury trial against hedge fund for spreading false information on a stock – Investment Watch

SEC wins jury trial against hedge fund for spreading false information on a stock – Investment Watch
investmentwatchblog.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentwatchblog.com Daily Mail and Mail on Sunday newspapers.

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SEC Wins Jury Trial Against Hedge Fund Adviser Who Ran Manipulative Short Scheme

Jurors in Boston federal court today returned a verdict in the Securities Exchange Commission’s favor against a hedge fund adviser and his investment advisory firm. 

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SEC takes action against Irving company for misleading investors in oil and gas securities

SEC takes action against Irving company for misleading investors in oil and gas securities
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Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures

Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures Details Written by IVN Washington, DC - The Securities and Exchange Commission Monday announced the institution of administrative proceedings against a Texas-based CPA for allegedly failing to register his firm with the Public Company Accounting Oversight Board (PCAOB) and alleged wholesale failures in auditing and reviewing the financial statements of a public company client. According to the SEC’s order, the Enforcement Division and the Office of the Chief Accountant (OCA) allege that Christopher Knauth falsely represented to a public company audit client that his firm was registered with the PCAOB. The Enforcement Division and OCA further allege that Knauth eventually filed an application to register his firm with the PCAOB, but the PCAOB repeatedly informed him over a nine-month period that the application was incomplete. Despite this, the Enforcement Division and

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