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>> SEC Latest News

34 MINS AGO - Seattle Times

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L&L Energy CEO Dickson Lee pleads guilty to fraud charges

The CEO of the Seattle-based coal mining company had been charged with filing false SEC documents by signing the name of a purported chief financial officer who didn’t actually work for the company.

Tags: L&L Energy CEO Dickson Lee pleads guilty to fraud charges,  Sec Latest News

1 HOUR AGO - TheStreet

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How Will Barclays (BCS) Stock React To SEC Compliance Failure Charge?

NEW YORK (TheStreet) --aBarclays PLC was charged with failing to build suitable compliance systems, which resulted in overcharges and client losses of $472,000, following the firm's Lehman Brothers' advisory business purchase in 2008, the Wall Street Journal reports. The SEC charge alleges that Barclays violated securities laws and "subjected its clients to a host of improper practices and inadequate disclosures," ...

Tags: How Will Barclays (BCS) Stock React To SEC Compliance Failure Charge?,  Sec Latest News

3 HOURS AGO - AdvisorOne

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SEC Announces 3 Senior-Level Appointments

SEC announced this week a new administrative law judge and two other personnel moves.

Tags: SEC Announces 3 Senior-Level Appointments,  Sec Latest News

3 HOURS AGO - AdvisorOne

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SEC Fines Barclays $15M Over Lehman Acquisition Failures

Barclays failed to establish a critical compliance foundation when it acquired Lehman’s advisory business, the regulator says.

Tags: SEC Fines Barclays $15M Over Lehman Acquisition Failures,  Sec Latest News

3 HOURS AGO - Financial Planning magazine

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Compliance System Flaws Cost Barclays $15 Million

Barclays settles for $15 million after the SEC found its compliance system inadequate following its purchase of Lehman Brothers' wealth advisory business.

Tags: Compliance System Flaws Cost Barclays $15 Million,  Sec Latest News