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SECURITIES AND EXCHANGE COMMISSION: Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management

By Press release submission | Apr 22, 2019

The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management.

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.

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