LSV Responds to Lawsuit by Former Execs With Cease-and-Desist Letter
Plaintiffs fire back with accusations of threats and intimidation tactics.
Tag: cease-and-desist order
Corporate Moves
J.P. Morgan Agrees to Pay $200M to Settle CFTC Charges of Supervisory Failure
The regulator said the magnitude of data gaps in the firm’s surveillance was so large that it missed billions of orders.
Newsmakers
Bloomberg Settles SEC Charges of Misleading Pricing Disclosures
Firm pays $5 million fine related to its BVAL service’s fixed-income pricing.
Regulation
SEC Settles With Eight Firms Over Inadequate Cybersecurity Measures
The regulator alleges a lack of safeguards exposed the personal information of thousands of clients.
Regulation
SEC Charges Could Open Pearson to Securities Lawsuits
With the cease-and-desist order, attorneys might take aim at the publisher over alleged misleading statements.