RSM to pay $3.75M penalty to SEC for improper audits
The Top 10 Firm was penalized for improper professional conduct for failing to properly audit a client.
Source: accountingtoday.com
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Wall Street firms settle with Securities and Exchange Commission over electronic recordkeeping failures
The Securities and Exchange Commission has reached a settlement with 16 Wall Street firms over failures to maintain and preserve electronic communications.
Source: accountingtoday.com
SEC charges Friedman with improper professional conduct in audits
The commission charged the Top 100 Firm for failing to comply with the standards of the PCAOB while conducting audits of two public companies from 2017 through 2020.
Source: accountingtoday.com
Sterlington, Louisiana, advisor firm settle with SEC
Aaron Fletcher and his firm Twin Spires Financial have entered a final judgment with the Securities and Exchange Commission over their role in two allegedly fraudulent offerings and a failure to register as a municipal advisor.
Source: bondbuyer.com
Move to dismiss first-ever G-42 charges denied by federal judge
Municipal advisor Matthias O'Meara and his firm Choice Advisors' move to dismiss the SEC's first ever charges under MSRB Rule G-42 failed.
Source: bondbuyer.com