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SECURITIES AND EXCHANGE COMMISSION: Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs

By Press release submission | Mar 25, 2019

The Securities and Exchange Commission announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).

SEC alleges Volkswagen, former CEO defrauded bond investors through emissions fraud scheme

By Marian Johns | Mar 20, 2019

SAN FRANCISCO (Legal Newsline) – The Securities and Exchange Commission (SEC) has filed a complaint in the U.S. District for the Northern District of California, charging that Volkswagen AG, two of its subsidiaries and a former CEO defrauded bond investors through a "clean diesel" emissions fraud scheme.

SECURITIES AND EXCHANGE COMMISSION: Wedbush Settles Failure to Supervise Charge

By Lene Caracas-Apuntar | Mar 18, 2019

The Securities and Exchange Commission announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge in a pending administrative proceeding.

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