SEC settlements News
AIG Investment Advisory Unit Will Resolve SEC Charges With $40M Payment
An investment advisory unit of American International Group has agreed to pay about $40 million for failing to disclose to teachers and other clients conflicts of interest and practices that ...
AmTrust, Ex-CFO Will Pay $10.5M to Settle SEC Charges Of Improper Reporting
The Securities and Exchange Commission (SEC) has charged insurance company AmTrust Financial Services and Ronald E. Pipoly Jr., its former chief financial officer, with failing to disclose material ...