U.S. Securities and Exchange Commission


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SeaWorld, former CEO to pay more than $5 million to settle alleged misleading of investors

By Marian Johns | Sep 21, 2018

WASHINGTON, D.C. — SeaWorld Entertainment Inc., and its former CEO have agreed to pay more than $5 million to settle charges by the federal government that they mislead investors on the impact a negative documentary had on the company's reputation and business.

SEC: Retail investors suffered losses from New York advisers' advice

By Marian Johns | Sep 14, 2018

WASHINGTON, D. C. – The U.S. Securities and Exchange Commission (SEC) says retail investors who suffered losses after a Syracuse, New York, broker/dealer and investment advisers steered them toward a leveraged oil-linked exchange-traded note (ETN) without a reasonable basis, will be fully reimbursed.

Otis Elevator agrees to $13.9 million settlement with SEC

By Marian Johns | Sep 14, 2018

WASHINGTON, D.C. — A Connecticut company has agreed to a $13.9 million settlement with the U.S. Securities and Exchange Commission (SEC) over charges the company made illicit payments relating to its elevator and aircraft engine businesses.

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