January 8, 2021/US SEC The Securities and Exchange Commission today announced charges against Deutsche Bank AG for violations of the Foreign Corrupt Practices Act (FCPA). As part of coordinated resolutions with the SEC and the Department of Justice, Deutsche Bank has agreed to pay more than $120 million, which includes […]
Frauds & Scandals
SEC charges Utah Company, its Principals, and Two Recidivists with Securities Fraud
January 8, 2021/US SEC Securities and Exchange Commission v. ConTXT, Inc, Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen, No. 2:21-cv-00013 (U.S. District Court, District of Utah) filed January 7, 2021. The Securities and Exchange Commission today announced settled charges against a Utah corporation, its […]
SEC Issues Over $1.1 Million to Multiple Whistleblowers
January 7, 2021/US SEC The Securities and Exchange Commission today announced awards totaling more than $1.1 million to five whistleblowers who provided high-quality information that led to successful enforcement actions. In the first order, the SEC awarded three whistleblowers almost $500,000 in connection with two related enforcement actions. The first […]