Nathan N. Nguyen
Post ContentRead More
Brian Lam
Post ContentRead More
Interactive Brokers Corp. and Interactive Brokers LLC
Interactive Brokers Corp. and Interactive Brokers LLCRead More
Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP
Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LPRead More
SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance
The Securities and Exchange Commission today charged Newell Brands Inc., a Georgia-based consumer products company and its former CEO, Michael Polk, with misleading investors about Newell’s core sales growth, a non-GAAP (Generally Accepted Accounting…Read More
SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures
The Securities and Exchange Commission today announced charges against credit rating agencies DBRS Inc. and Kroll Bond Rating Agency, LLC (KBRA) for longstanding failures to preserve electronic records, including off-channel communications on personal…Read More
SEC Charges 10 Firms with Widespread Recordkeeping Failures
The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and…Read More
Albemarle Corporation
Albemarle CorporationRead More
Albemarle Corp. to Pay SEC More Than $103 Million to Settle FCPA Violations
The Securities and Exchange Commission today announced that Charlotte-based Albemarle Corporation, a global specialty chemicals company, agreed to pay more than $103.6 million to settle the SEC’s charges that it violated the anti-bribery, recordkeeping,…Read More
Spruce Power Holding Corporation
Spruce Power Holding CorporationRead More
